Adan H. Gom
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.
Adan Henry Gom, who also goes by Henry Gom, was a registered financial professional .
Adan is a previously registered financial professional and started their career in finance in 2006. Adan had worked at 4 firms and has passed the Series 63 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
November 17, 2011 - September 20, 2012
SOFI SECURITIES LLC
March 4, 2011 - August 12, 2011
FOREST ROAD SECURITIES BD LLC
May 12, 2008 - March 24, 2009
CITIGROUP GLOBAL MARKETS INC.
August 30, 2006 - May 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SOFI SECURITIES LLC
CRD#: 151717 / SEC#: , 8-68389
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
