Hector Alan Gama

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 10/2022
  Charles Schwab & Co., Inc.
  Lone Tree, CO
• 09/2019 → 10/2022
  Schwab Private Client Investment Advisory, Inc.
  Lone Tree, CO
• 11/2022 → 01/2024
  Morgan Stanley
  Denver, CO
• 11/2022 → 01/2024
  Morgan Stanley Private Bank, N.A
  New York, NY
• 01/2024 → Present
  Cwm, Llc
  Omaha, NE
• 01/2024 → Present
  Pesta & Pesta
  Cupertino, CA

Previous Registrations

• 2022-11-17 → 2024-01-04
  Morgan Stanley
  Denver, CO
• 2019-09-20 → 2022-11-09
  Schwab Wealth Advisory, Inc.
  Lone Tree, CO
• 2017-10-23 → 2019-09-20
  Charles Schwab & Co., Inc.
  Lone Tree, CO

Exams

• S66 Uniform Combined State Law Examination
  2017-10-21
• S63 Uniform Securities Agent State Law Examination
  2016-05-04

Designations

• Certified Financial Planner