Esperanza Padilla GomezCRD Number: 1386295
Current Firm: Integrated Wealth Management, Inc.
Esperanza Padilla Gomez (CRD# 1386295) is an Investment Advisor Representative working at Integrated Wealth Management, Inc. in Newport Beach, CA and has over 21 years of experience in the finance industry.
Dorman Skorheim Wealth Management LLC
Jst Investment Consulting
Rs Crum Inc.
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||May 2016 - Current||< 1|
|Cambridge Investment Research, Inc.||Fairfield, IA||May 2016 - Current||< 1|
|Purshe Kaplan Sterling Investments||Albany, NY||Nov 2013 - May 2016||2|
|Integrated Wealth Management||Newport Beach, CA||Nov 2013 - May 2016||2|
|Wells Fargo Advisors LLC||Seal Beach, CA||May 2009 - Nov 2013||4|
|Wachovia Securities, LLC||Seal Beach, CA||Mar 2008 - May 2009||1|
|Ubs Financial Services Inc.||Newport Beach, CA||Dec 2003 - Mar 2008||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1996|
|S65||NASAA Investment Advisors Law Examination||May 1997|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management1,178MILLIONS
Total Number of Accounts3,770ACCOUNTS
Average Account Value$312,361
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AZ, CA, CO, FL, ID, IL, NM, NV, NY, OR, TX, UT, WA
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