Albert Gutierrez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert Gutierrez was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1982. Albert had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2008 - October 30, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
May 1, 2008 - October 30, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
May 21, 2004 - May 5, 2006
ESSEX NATIONAL SECURITIES, LLC
July 24, 2003 - May 5, 2006
ESSEX NATIONAL SECURITIES, LLC
February 1, 2001 - August 20, 2001
KEYBANC CAPITAL MARKETS INC.
October 17, 1991 - November 24, 1992
CHURCHILL SECURITIES, INC.
January 9, 1989 - November 14, 1989
STATEN SECURITIES CORPORATION
December 9, 1987 - January 20, 1989
INVEST FINANCIAL CORPORATION
April 2, 1986 - October 6, 1987
TRI-STATE FINANCIAL PLANNING ASSOCIATES
December 22, 1982 - December 4, 1985
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ONE FINANCIAL ADVISORS LLC
CRD#: 127236 / SEC#:
Contact information
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.
