John Louis Gomez

CRD 5085384 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Duluth, GA

IA RegisteredBroker

Also appears in the source record as: John L Gomez; John Gomez; Juan L Gomez; Juan Gomez

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 65Series 63SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Duluth, GA · IA capacity

Aug 30, 2017 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Duluth, GA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
BD capacity

Oct 2, 2012 → May 23, 2017
Chase Investment Services Corp.
IA capacity

Apr 7, 2010 → Sep 12, 2012
Chase Investment Services Corp.
BD capacity

Apr 6, 2010 → Sep 12, 2012
Comprehensive Asset Management And Servicing, Inc.
BD capacity

Apr 29, 2009 → Aug 14, 2009
Waddell & Reed, Inc.
IA capacity

Apr 10, 2009 → May 1, 2009
Waddell & Reed, Inc.
BD capacity

Mar 26, 2009 → May 1, 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jun 21, 2007 → Oct 1, 2008
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Jun 21, 2007 → Oct 1, 2008
Axa Advisors, LLC
IA capacity

May 4, 2006 → Apr 11, 2007
Axa Advisors, LLC
BD capacity

Feb 3, 2006 → Apr 11, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5085384 ↗ FINRA BrokerCheck record for CRD 5085384 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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