Roy D. Gutierrez

GUTIERREZ WEALTH ADVISORY | Senior Vice President - Wealth Management

Little Rock, AR 72211

Some features on this profile are disabled

CRD#: 1007996

Professional summary

Roy David Gutierrez, who also goes by Roy Davd Gutierrez, is a registered financial advisor currently at GUTIERREZ WEALTH ADVISORY, LLC located in Little Rock, Arkansas.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Roy has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Insurance

Financial planning

Institutional consulting

Philanthropic services

Trust & estate planning

Trading individual securities

Executive services/Equity comp...

Loans/credit services

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Roy Davd Gutierrez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. 10/2022. Hrs/month 4 all during trading hours. Sales of fixed/traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy David Gutierrez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 23, 2022 - Present

GUTIERREZ WEALTH ADVISORY, LLC

Office #1: 10801 Executive Center Dr. Suite 103, Little Rock, AR 72211

RIA

CRD#: 319481

Little Rock, AR

Past

October 25, 2022 - February 27, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

June 10, 1987 - November 4, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LITTLE ROCK, AR

Past

June 10, 1987 - November 4, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LITTLE ROCK, AR

Past

October 22, 1981 - June 12, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GUTIERREZ WEALTH ADVISORY, LLC

CRD#: 319481 / SEC#: 801-126693

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(10/23/2022)

IAR

Texas
(11/7/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

Current Firm

GUTIERREZ WEALTH ADVISORY, LLC

CRD#: 319481 / SEC#: 801-126693

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10801 Executive Center Dr. Ste. 103, Little Rock, AR 72211

Mailing Address

Phone number

(501) 451-6900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE PART 2A (11/11/2025)

Regulatory assets under management

Total Number of Accounts	469
AUM (Assets Under Management)	$ 280,347,421

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Chad Carlson

LPL FINANCIAL LLC

IAR

Little Rock, AR

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roy D. Gutierrez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy David Gutierrez's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

GUTIERREZ WEALTH ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1994

Series 63

Date: 9/5/1981

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1981

Current Firm

GUTIERREZ WEALTH ADVISORY, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUTIERREZ WEALTH ADVISORY, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors