SG
Sarah C. Gutierrez
APTUS FINANCIAL
Little Rock, AR
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CRD#: 3246817
SG
Professional summary
Sarah Catherine Gutierrez, CFP®, who also goes by Sarah Catherine Gutierrez, Sarah Catherine Phillips, is a registered financial advisor currently at APTUS FINANCIAL, LLC located in Little Rock, Arkansas.
Sarah is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Sarah has worked at 2 firms and has passed the Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Catherine Gutierrez | Sarah Catherine Phillips
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.
Club 27, 614 President Clinton Ave, Little Rock, AR 72201. Club 27 is a salsa dancing and event venue. Since November 2016, I have been a 50% owner in the venture along with my husband who is the other owner. I spend ~15 minutes per month, or 3 hours per year on Club 27 activities, and very little during securities trading hours. The activities are not investment related. WEHCO Media, 115 E. Capitol, Little Rock, AR 72201. WEHCO is a publishing and cable company. Since September 2020, I have been a member of the Board of Directors and attend an annual meeting in May. WEHCO is a retirement plan advisory client of Aptus Financial. I spend approximately 1 hour per month on WEHCO activities, roughly half of which is during securities trading hours. The activities are not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Sarah Catherine 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®
Experience
Current
November 7, 2015 - Present
APTUS FINANCIAL, LLC
RIA
CRD#: 280033
Little Rock, AR
Past
October 25, 2007 - June 1, 2011
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
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".
AF
APTUS FINANCIAL, LLC
APTUS FINANCIAL LLC | SC FINANCIAL CARE LLC | SC FINANCIAL | SARAH CATHERINE GUTIERREZ | EFFICIENT FINANCIAL, LLC | EFFICIENT FINANCIAL INVESTMENT ADVISING SERVICES | APTUS FINANCIAL, LLC
CRD#: 280033 / SEC#: 801-120751
RIA
Registered Investment Advisory firm - (4/9/2021 Approved)Arkansas
Registered Investment Advisory firm - (5/3/2021 Terminated)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.Highlighted states indicate IAR registrations
IAR
Arkansas(11/7/2015)
IAR
Texas(1/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AF
APTUS FINANCIAL, LLC
APTUS FINANCIAL LLC | SC FINANCIAL CARE LLC | SC FINANCIAL | SARAH CATHERINE GUTIERREZ | EFFICIENT FINANCIAL, LLC | EFFICIENT FINANCIAL INVESTMENT ADVISING SERVICES | APTUS FINANCIAL, LLC
CRD#: 280033 / SEC#: 801-120751
RIA
Registered Investment Advisory firm - (4/9/2021 Approved)Arkansas
Registered Investment Advisory firm - (5/3/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Little Rock, AR
Mailing Address
Po Box 251510, Little Rock, AR 72225
Phone number
(501) 907-1993
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (32 States and Territories)
Documents
Red Flags
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