Bobby S. Gomez

Some features on this profile are disabled

CRD#: 4883383

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bobby Sharan Gomez, CIMA®, who also goes by Bobby Sharan Gomez, Bobby Gomez, Gomez S Gomez, Bobby Gupta, was a registered financial professional .

Bobby is a previously registered financial professional and started their career in finance in 2005. Bobby had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bobby Sharan Gomez | Bobby Gomez | Gomez S Gomez | Bobby Gupta

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Business Name: 4604 BUFFALO BEND PL POSITION: Home owner NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 4604 Buffalo Bend Pl, Fort Worth TX 76137 DESCRIPTION: Repair any damage or issues that might occur.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

January 11, 2022 - February 19, 2025

KESTRA INVESTMENT MANAGEMENT, LLC.

RIA

CRD#: 317711

AUSTIN, TX

Past

September 20, 2021 - January 11, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

September 20, 2021 - February 19, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

March 29, 2021 - October 7, 2021

GOLDMAN SACHS & CO. LLC

CRD#: 361

Irving, TX

Past

May 16, 2019 - October 7, 2021

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

IRVING, TX

Past

October 17, 2018 - May 15, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

FORT WORTH, TX

Past

February 28, 2018 - September 24, 2018

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

CRD#: 287788

Irving`, TX

Past

January 31, 2013 - February 28, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

IRVING, TX

Past

November 29, 2010 - January 24, 2013

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Past

June 10, 2009 - October 22, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

FT. WORTH, TX

Past

June 10, 2009 - October 22, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

FT. WORTH, TX

Past

January 20, 2005 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

FT. WORTH, TX

Past

January 6, 2005 - January 29, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

FT. WORTH, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA INVESTMENT MANAGEMENT, LLC.

CRD#: 317711 / SEC#: 801-122889

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/19/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/2013

General Securities Principal Examination

Current Firm

KESTRA INVESTMENT MANAGEMENT, LLC.

CRD#: 317711 / SEC#: 801-122889

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5707 Southwest Parkway, Building 2, Ste 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA IM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,421
AUM (Assets Under Management)	$ 2,615,262,770

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bobby S. Gomez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

GOLDMAN SACHS & CO. LLC

UNITED CAPITAL FINANCIAL ADVISORS

J.P. MORGAN SECURITIES LLC

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

FORESIDE FUND SERVICES, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

KESTRA INVESTMENT MANAGEMENT, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/19/2005

SIE

Date: 9/24/2018

Series 7

Date: 1/5/2005

Series 24

Date: 10/2/2013

Current Firm

KESTRA INVESTMENT MANAGEMENT, LLC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KESTRA INVESTMENT MANAGEMENT, LLC.

TRUST BUT VERIFY

Similar Advisors