RG
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Roxana Gomez is a registered investment advisor at Mma Securities LLC, based in San Diego, CA, with 8 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 8,394 clients.
Compensation
Commission-BasedFixed/Hourly
Firm Size
162 advisors
Number of Clients
8,394 clients
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
MMA Securities offers two services through a subadviser, Empower Advisory Group (EAG):
- In-Plan Advice (Online Advice Service): This service provides online guidance and investment advice, but you implement the recommendations yourself. There is no fee charged directly to plan participants for using this service.
- MMA MyPath (Managed Account Service): This service manages your retirement account for you. Participants in this service pay an annual asset-based fee. The fee covers costs associated with providing the service, including expenses payable to EAG and other service providers. MMA Securities does not retain any portion of this fee.
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Location
9171 Towne Centre Drive, Suite 100, San Diego, CA, 92122
Get directionsHistory
Regulatory History (1)
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Criminal
November 2014Final Disposition
Employment History
Current Registrations
Mma Securities LLC
July 2018 - Present · 8 yrs 2 mos
Mma Securities LLCBroker
July 2018 - Present · 8 yrs 2 mos
Previous Registrations
Sagepoint Financial, INC.
October 2017 - July 2018 · 9 mos
Sagepoint Financial, INC.Broker
May 2017 - July 2018 · 1 yr 2 mos
State Registrations1 state
CA
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.