Theodore 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.
Theodore Gutierrez, who also goes by Ted Gutierrez, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1996. Theodore had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2013 - October 23, 2014
ACADEMY SECURITIES, INC.
May 24, 2011 - December 21, 2011
SEB SECURITIES, INC.
September 19, 2006 - April 23, 2007
FTN MIDWEST ASSET MANAGEMENT CORP.
September 13, 2006 - May 18, 2009
FTN EQUITY CAPITAL MARKETS CORP.
June 8, 2005 - September 23, 2005
STG SECURE TRADING GROUP, INC.
March 28, 2003 - March 17, 2004
GRANITE ASSOCIATES, INC
May 1, 2001 - November 20, 2001
KIPPSDESANTO & COMPANY
July 1, 1998 - May 25, 1999
COWEN AND COMPANY
October 10, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
September 16, 1996 - May 15, 1997
MONTGOMERY SECURITIES
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
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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