Emilio 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.
Emilio Gutierrez, who also goes by Pastor Emilio Gutierez Jr, Pastor Gutierez, Emilio Gutierrez Jr, Pastor Emilio Gutierrez Jr, Pastor Emilio Gutierrez, Postor Emilio Gutierrez Jr, was a registered financial professional .
Emilio is a previously registered financial professional and started their career in finance in 1998. Emilio had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2018 - April 25, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2018 - April 25, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2013 - May 22, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 28, 2013 - May 22, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 26, 2012 - January 23, 2013
MDX WEALTH MANAGEMENT
March 7, 2012 - June 28, 2012
WEALTH SOLUTIONS, INC.
February 27, 2012 - June 28, 2012
WEALTH SOLUTIONS, INC.
January 6, 2012 - February 9, 2012
IMS SECURITIES, INC.
January 4, 2012 - February 9, 2012
WESTPARK WEALTH ADVISORS, INC.
September 11, 2009 - January 3, 2012
NEXT FINANCIAL GROUP, INC.
September 11, 2009 - January 3, 2012
NEXT FINANCIAL GROUP, INC.
April 3, 2006 - April 1, 2009
STANFORD GROUP COMPANY
April 3, 2006 - April 1, 2009
STANFORD GROUP COMPANY
March 23, 2006 - April 19, 2006
BANC ONE SECURITIES CORPORATION
February 27, 2006 - April 19, 2006
BANC ONE SECURITIES CORPORATION
August 11, 2005 - April 5, 2006
CHASE INVESTMENT SERVICES CORP.
August 11, 2005 - April 5, 2006
CHASE INVESTMENT SERVICES CORP.
August 16, 2004 - August 4, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
January 10, 2002 - June 23, 2003
E*TRADE ADVISORY SERVICES, INC.
September 24, 2001 - June 11, 2003
E*TRADE SECURITIES LLC
July 25, 2000 - September 7, 2001
INVEST FINANCIAL CORPORATION
January 6, 1998 - July 23, 1999
EDWARD JONES
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
