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Roberto Cruz Gomez

Some features on this profile are disabled
CRD#: 5324074
RC

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.

Roberto Cruz Gomez, who also goes by Roberto Cruz, was a registered financial professional .

Roberto is a previously registered financial professional and started their career in finance in 2007. Roberto had worked at 7 firms and has passed the Series 7 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roberto Cruz

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)

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®
None

Experience

Past

November 29, 2012 - May 22, 2013

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

July 20, 2012 - September 21, 2012

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
GUAYNABO, PR
Past

February 24, 2011 - August 2, 2012

ORIENTAL FINANCIAL SERVICES LLC

BD
CRD#: 29753
SAN JUAN, PR
Past

March 13, 2008 - February 16, 2011

POPULAR SECURITIES, LLC

BD
CRD#: 8096
SAN JUAN, PR
Past

January 15, 2008 - March 26, 2008

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
GUAYNABO, PR
Past

January 15, 2008 - March 26, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
GUAYNABO, PR
Past

May 22, 2007 - October 29, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN JUAN, PR

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.

Exams

General Industry/Product Exam
RR
Series 7
Date: 5/21/2007
General Securities Representative Examination

Current Firm

IS
IFS SECURITIES
ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: , 8-49020

BD
Terminated by SEC on 02/28/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 09/21/1993
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event3
Arbitration1
Financial1

Red Flags

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Company Information

IFS SECURITIES

CRD#: 40375

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