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Esperanza Gomez

Cambridge Investment Research Advisors, INC.
31 Years of Experience
Seal Beach, CA
6 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Esperanza Gomez is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Seal Beach, CA, with 31 years of industry experience. Esperanza is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3020 Old Rand Pkwy., Ste 300, Seal Beach, CA, 90740

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
February 2023
Judgment / Lien
September 2019
Judgment / Lien
August 2018
Judgment / Lien
July 2017
Judgment / Lien
June 2015
Judgment / Lien
February 2013
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Esperanza is an advisory representative of a registered investment advisor (RIA) and an independent insurance agent for various independent insurance companies, dedicating about 10-20% of her time to each. She also owns The Creperee LA, a food industry and dog boarding business, spending minimal time on it.

Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
May 2016 - Present · 10 yrs 5 mos
Cambridge Investment Research, INC.
May 2016 - Present · 10 yrs 5 mos
Cambridge Investment Research, INC.Broker
May 2016 - Present · 10 yrs 5 mos
Previous Registrations
Integrated Wealth Management, INC.
December 2013 - June 2017 · 3 yrs 6 mos
Purshe Kaplan Sterling InvestmentsBroker
November 2013 - May 2016 · 2 yrs 6 mos
Wells Fargo Advisors, LLC
March 2008 - November 2013 · 5 yrs 8 mos
Wells Fargo Advisors, LLCBroker
March 2008 - November 2013 · 5 yrs 8 mos
UBS Financial Services INC.Broker
December 2003 - April 2008 · 4 yrs 4 mos
UBS Financial Services INC.
December 2003 - April 2008 · 4 yrs 4 mos
Wachovia Securities, LLC
August 2002 - December 2003 · 1 yr 4 mos
Wachovia Securities, LLCBroker
August 2002 - December 2003 · 1 yr 4 mos
UBS Painewebber INC.
July 1997 - June 2002 · 4 yrs 11 mos
UBS Painewebber INC.Broker
June 1997 - June 2002 · 5 yrs
Prudential Securities IncorporatedBroker
April 1995 - June 1997 · 2 yrs 2 mos
State Registrations9 states
AZCACODCIDNCORSDWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Esperanza Gomez - Financial Advisor | TrueAdvisor