Richard Gomez
Professional summary
Richard Gomez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Richard had worked at 16 firms, which includes AVENIR FINANCIAL GROUP, WOODSTOCK FINANCIAL GROUP INC., ROCKWELL GLOBAL CAPITAL LLC, CALDWELL INTERNATIONAL SECURITIES, PHD CAPITAL, LEGEND SECURITIES INC., U.S. FINANCIAL INVESTMENTS INC., VISION BROKERAGE SERVICES LLC, BRILL SECURITIES INC., CLARK DODGE & CO. INC., WORLD EQUITY GROUP INC., WINDSOR STREET CAPITAL LP, BROOKSTREET SECURITIES CORPORATION, GARDEN STATE SECURITIES INC., HUNTER SCOTT FINANCIAL LLC., HALLMARK INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2013 - October 30, 2015
AVENIR FINANCIAL GROUP
March 18, 2013 - June 11, 2013
WOODSTOCK FINANCIAL GROUP, INC.
December 6, 2012 - March 19, 2013
ROCKWELL GLOBAL CAPITAL LLC
October 5, 2012 - December 3, 2012
CALDWELL INTERNATIONAL SECURITIES
January 12, 2012 - December 10, 2012
PHD CAPITAL
June 7, 2011 - December 2, 2011
LEGEND SECURITIES, INC.
March 24, 2010 - June 6, 2011
U.S. FINANCIAL INVESTMENTS, INC.
May 15, 2009 - March 5, 2010
VISION BROKERAGE SERVICES, LLC
September 25, 2007 - May 12, 2009
BRILL SECURITIES, INC.
May 15, 2007 - August 23, 2007
CLARK DODGE & CO., INC.
January 3, 2007 - May 11, 2007
WORLD EQUITY GROUP, INC.
August 24, 2006 - January 5, 2007
WINDSOR STREET CAPITAL, LP
August 11, 2006 - August 25, 2006
BROOKSTREET SECURITIES CORPORATION
April 18, 2006 - July 28, 2006
GARDEN STATE SECURITIES, INC.
March 10, 2006 - April 3, 2006
HUNTER SCOTT FINANCIAL LLC.
March 10, 2006 - April 11, 2006
HALLMARK INVESTMENTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AVENIR FINANCIAL GROUP
CRD#: 148490 / SEC#: , 8-68031
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
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