Ricardo Gomez
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.
Ricardo Gomez, who also goes by Ricardo Gomez Jr, Rick Gomez Jr., was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 2005. Ricardo had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 4, 2018 - October 31, 2022
THE O.N. EQUITY SALES COMPANY
August 9, 2013 - July 22, 2016
OSAIC FS, INC.
July 30, 2013 - July 22, 2016
OSAIC FS, INC.
August 2, 2007 - January 2, 2013
MSI FINANCIAL SERVICES, INC.
July 5, 2007 - January 2, 2013
MSI FINANCIAL SERVICES, INC.
November 1, 2005 - May 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 6, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
October 6, 2005 - May 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
