Maria C. Gutierrez-torres
Professional summary
Maria Carmen Gutierrez-torres, who also goes by Marie Carmen, Marie Carmen Gutierrez, Maria Del Carmen Gutierrez Torrres, Maricar Torres, Marie Carmen Torres, is a registered financial professional currently at CFD INVESTMENTS, INC. located in Minneola, Florida.
Maria is registered as a RR (Registered Representative) and started their career in finance in 2001. Maria has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Maria Carmen Gutierrez-torres's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2021 - Present
CFD INVESTMENTS, INC.
March 23, 2007 - May 10, 2021
PRINCIPAL SECURITIES, INC.
September 19, 2002 - April 2, 2007
NEW ENGLAND SECURITIES
April 9, 2001 - September 17, 2001
WMA SECURITIES, 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
(5/4/2021)
(5/4/2021)
(1/27/2025)
Exams
FINRA
Current Firm
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 1 |
Red Flags
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