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TG

Todd A. Gomes

SONOMA ALLOCATIONS
SANTA ROSA, CA 95404
Some features on this profile are disabled
CRD#: 5128533
TG

Professional summary

Todd Arthur Gomes, AIF®, who also goes by Todd Gomez, is a registered financial advisor currently at SONOMA ALLOCATIONS located in Santa Rosa, California.

Todd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Todd has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Todd Gomez

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Todd Arthur Gomes's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

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

Accredited Investment Fiduciary

Experience

Current

May 8, 2025 - Present

SONOMA ALLOCATIONS

Office #1: 50 Old Courthouse Square Suite 300, Santa Rosa, CA 95404
RIA
CRD#: 335435
SANTA ROSA, CA
Past

December 16, 2020 - June 7, 2025

FERMATA ADVISORS

RIA
CRD#: 305614
Santa Rosa, CA
Past

October 25, 2013 - January 15, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SANTA ROSA, CA
Past

August 3, 2007 - January 15, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SANTA ROSA, CA
Past

May 29, 2007 - July 24, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SANTA ROSA, CA
Past

May 26, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
SANTA ROSA, CA

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".
SA
SONOMA ALLOCATIONS
SONOMA ALLOCATIONS | SONOMA FAMILY WEALTH | SONOMA ALLOCATIONS, LLC | SONOMA ALLOCATIONS LLC

CRD#: 335435 / SEC#: 801-132529

RIA
Registered Investment Advisory firm - (4/24/2025 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(5/9/2025)
IAR
Texas
(5/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/24/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/3/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/7/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/2006
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SONOMA ALLOCATIONS
SONOMA ALLOCATIONS | SONOMA FAMILY WEALTH | SONOMA ALLOCATIONS, LLC | SONOMA ALLOCATIONS LLC

CRD#: 335435 / SEC#: 801-132529

RIA
Registered Investment Advisory firm - (4/24/2025 Approved)
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Contact information

Main Address
50 Old Courthouse Square Suite 300, Santa Rosa, CA 95404
Mailing Address
Phone number
(707) 490-8842
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - SONOMA ALLOCATIONS LLC (2/3/2026)

Regulatory assets under management

Total Number of Accounts902
AUM (Assets Under Management)$ 350,000,000

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.

Company Information

SONOMA ALLOCATIONS

CRD#: 335435Santa Rosa, CA 95404

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