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CG

Cynthia M. Gomez

Some features on this profile are disabled
CRD#: 6780241
CG

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.

Cynthia Marie Gomez, who also goes by Cindy Marie Gomez, Cynthia Gomez, Cindy Marie Lessler, Cynthia Marie Lessler, was a registered financial professional .

Cynthia is a previously registered financial professional and started their career in finance in 2017. Cynthia had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

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Question & Answer

Are you a "fiduciary"?
No

Aliases

Cindy Marie Gomez | Cynthia Gomez | Cindy Marie Lessler | Cynthia Marie Lessler

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.

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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

July 20, 2020 - April 1, 2024

CARTA CAPITAL MARKETS, LLC

BD
CRD#: 304751
SAN FRANCISCO, CA
Past

September 12, 2017 - October 7, 2022

CARTA SECURITIES, LLC

BD
CRD#: 282086
SAN FRANCISCO, CA

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

State Security Law Exam
RR
Series 63
Date: 5/1/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/25/2018
General Securities Principal Examination

Current Firm

CC
CARTA CAPITAL MARKETS, LLC
CARTA CAPITAL MARKETS, LLC

CRD#: 304751 / SEC#: , 8-70396

BD
Terminated by SEC on 12/20/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/14/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ESHARES, INC. D/B/A CARTA, INC.DIRECT OWNER
DEPALMA, ROSEMARY ANNCHIEF COMPLIANCE OFFICER1103302
KEOWN, TIMOTHY THOMASCHIEF EXECUTIVE OFFICER5872351
KWIATKOWSKI, NADINE ANAPRINCIPAL OPERATIONS OFFICER4776334
MIALHE, EDOUARD NMNFINOP / PFO6864320

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

CARTA CAPITAL MARKETS, LLC

CRD#: 304751

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