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One Orange Way, Windsor, CT 06095 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-12-21 |
| NM | RA | APPROVED | 2023-11-21 |
Branch Locations
3900 Juan Tabo Blvd. Ne Suite #21, Albuquerque, NM 87111 • United States
1030 Nevada St Ste 203, Redlands, CA 92374 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legacy Financial Group, Llc | Albuquerque | NM | 08/2013 | 05/2023 |
| Voya Financial Advisors | Windsor | CT | 07/2023 | Present |
| Ashley Gomez-Herrera | Albuquerque | NM | 11/2023 | Present |
GOMEZ SALSA COMANY LLC POSITION: Owner NATURE: Own a salsa company, currently producing and have not produced since before COVID INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2018 ADDRESS: 3100 Tahiti St NE, Albuquerque NM 87111, United States DESCRIPTION: Manage books, file taxes, not currently producing product RENTAL POSITION: Landlord NATURE: Rent out a house INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: Albuquerque NM, United States DESCRIPTION: Collect rent, maintain home ASHLEY GOMEZ-HERRERA POSITION: Agent NATURE: fixed insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 6565 Americas Parkway NE, Ste 200, Albuquerque NM 87110, United States DESCRIPTION: selling fixed annuities DILIGENT FINANCIAL SERVICES LLC POSITION: Sole Proprietor NATURE: LLC setup to track business expenses and pay an employee when I hire in the future. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/23/2023 ADDRESS: 3100 Tahiti St. NE, Albuquerque NM 87111, United States DESCRIPTION: No duties at this time, not an active company at this time. NOTARY ASHLEY PADILLA GOMEZ-HERRERA POSITION: Notary NATURE: I am a Notary Public with the State of NM. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/10/2023 ADDRESS: 3900 Juan Tabo Blvd. NE Ste. 21, Albuquerque NM 87111, United States DESCRIPTION: Notarize signatures.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2023-08-01 |
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