Mauricio A. Gutierrez
Professional summary
Mauricio Andres Gutierrez was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mauricio is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Mauricio had worked at 3 firms, which includes DOMINION INVESTOR SERVICES INC., ADVANTAGE CAPITAL CORPORATION, RAUSCHER PIERCE REFSNES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 1991 - December 31, 1992
DOMINION INVESTOR SERVICES, INC.
September 1, 1987 - October 3, 1989
ADVANTAGE CAPITAL CORPORATION
February 19, 1986 - June 12, 1986
RAUSCHER PIERCE REFSNES, 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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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