RG
Raul A. Gutierrez
PARK AVENUE SECURITIES LLC
SAINT PETERSBURG, FL
Some features on this profile are disabled
CRD#: 1974155
RG
Professional summary
Raul A Gutierrez, who also goes by Raul Anibal Gutierrez, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Saint Petersburg, Florida.
Raul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Raul has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raul Anibal 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. Rosa Victoria-The activity will putting together packages on weekends to ship out, visiting boutiques on weekends to show product and contacting boutiques via email, Start: 04/01/2014, Address: 10 Verbina Ave, Floral Park, NY 11001, 6 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation,
CRS (Client Relationship Summary) - RIA
Click below to view Raul A Gutierrez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raul A Gutierrez's 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®
NoneExperience
Current
July 13, 2012 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
SAINT PETERSBURG, FL
Current
July 13, 2012 - Present
PARK AVENUE SECURITIES LLC
RIA
BD
CRD#: 46173
SAINT PETERSBURG, FL
Past
May 3, 2006 - June 27, 2011
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
May 3, 2006 - June 27, 2011
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
May 6, 2003 - April 17, 2006
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
TAMPA, FL
Past
April 9, 1999 - April 17, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
March 13, 1995 - July 9, 1998
NEBRASKA HUDSON COMPANY, INC.
BD
CRD#: 27501
OMAHA, NE
Past
September 30, 1993 - March 10, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
BD
CRD#: 19924
Past
April 17, 1993 - October 1, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
December 12, 1990 - April 14, 1993
BROADPOINT DESCAP
BD
CRD#: 14997
NEW YORK, NY
Past
July 2, 1990 - December 3, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
BD
CRD#: 7361
Past
February 9, 1990 - May 3, 1990
VANDERBILT SECURITIES, INC.
BD
CRD#: 14280
Past
September 20, 1989 - February 15, 1990
J. T. MORAN & CO., INC.
BD
CRD#: 15655
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".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(7/19/2012)
RR
Arizona(7/19/2012)
RR
Arkansas(7/19/2012)
RR
California(7/19/2012)
RR
Colorado(7/19/2012)
RR
Connecticut(7/13/2012)
IAR
Connecticut(7/13/2012)
RR
Delaware(7/19/2012)
RR
District of Columbia(7/19/2012)
RR
Florida(7/19/2012)
RR
Georgia(7/19/2012)
RR
Hawaii(7/19/2012)
RR
Illinois(7/19/2012)
RR
Indiana(7/19/2012)
RR
Kansas(7/19/2012)
RR
Kentucky(7/19/2012)
RR
Louisiana(7/19/2012)
RR
Maine(7/19/2012)
RR
Massachusetts(7/19/2012)
RR
Michigan(7/19/2012)
RR
Minnesota(7/19/2012)
RR
Mississippi(7/19/2012)
RR
Missouri(7/19/2012)
RR
Montana(7/19/2012)
RR
Nebraska(3/7/2016)
RR
Nevada(7/19/2012)
RR
New Hampshire(7/19/2012)
RR
New Jersey(7/19/2012)
RR
New Mexico(7/19/2012)
RR
New York(7/13/2012)
IAR
New York(4/16/2021)
RR
North Carolina(7/19/2012)
RR
North Dakota(7/19/2012)
RR
Ohio(7/19/2012)
RR
Oklahoma(7/19/2012)
RR
Oregon(7/19/2012)
RR
Pennsylvania(7/19/2012)
RR
Rhode Island(7/19/2012)
RR
South Carolina(7/19/2012)
RR
South Dakota(7/19/2012)
RR
Texas(7/19/2012)
RR
Vermont(7/19/2012)
RR
Virginia(7/19/2012)
RR
Washington(7/19/2012)
RR
West Virginia(7/19/2012)
RR
Wisconsin(7/19/2012)
RR
Wyoming(7/19/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
