Matthew R. Gomez

HILLTOP SECURITIES ASSET MANAGEMENT

Austin, TX 78746

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CRD#: 6319577

Professional summary

Matthew Rene Gomez is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Austin, Texas and HILLTOP SECURITIES INC. located in Austin, Texas.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Matthew Rene Gomez; Non-investment-related; San Antonio, TX; Real estate property loan; Note holder; Started 01/30/2019; zero hrs/mo; I hold a note for a home that I sold and receive monthly principal and interest payments.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Rene Gomez's 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®

None

Experience

Current

March 31, 2023 - Present

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Office #1: 2700 Via Fortuna Suite 100, Austin, TX 78746

RIA

CRD#: 110760

Austin, TX

Current

August 15, 2022 - Present

HILLTOP SECURITIES INC.

Office #1: 2700 Via Fortuna Suite 410, Austin, TX 78746

RIA

CRD#: 6220

Austin, TX

Past

March 31, 2023 - May 19, 2025

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

AUSTIN, TX

Past

May 1, 2020 - March 23, 2022

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

August 21, 2017 - May 4, 2020

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Austin, TX

Past

December 19, 2014 - August 21, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

AUSTIN, TX

Past

June 26, 2014 - December 10, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

AUSTIN, 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".

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/15/2022)

IAR

Florida
(7/8/2024)

Texas
(8/15/2022)

IAR

Texas
(3/31/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/11/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/30/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 11/26/2022

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2014

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

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Contact information

Main Address

717 N. Harwood Street Suite 3400, Dallas, TX 75201

Mailing Address

Phone number

(214) 953-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

HSAM DISCLOSURE BROCHURE 03/24/2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 31,688,490,690

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.

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Advisor Monitoring

Firm Stability Insights

Matthew R. Gomez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Rene Gomez's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

LPL FINANCIAL LLC

SIGMA FINANCIAL CORPORATION

WFG INVESTMENTS, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/11/2023

Series 63

Date: 6/30/2014

Series 52TO

Date: 11/26/2022

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2014

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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