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TG

Tobias Gutierrez

TRADESTATION SECURITIES
Plantation, FL 33324
Some features on this profile are disabled
CRD#: 4164662
TG

Professional summary

Tobias Gutierrez is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.

Tobias is registered as a RR (Registered Representative) and started their career in finance in 2001. Tobias has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tobias Gutierrez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 27, 2021 - Present

TRADESTATION SECURITIES, INC.

Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324
BD
CRD#: 39473
Plantation, FL
Past

November 21, 2019 - April 21, 2021

BOREAL CAPITAL MANAGEMENT LLC

RIA
CRD#: 112221
MIAMI, FL
Past

October 28, 2019 - April 21, 2021

BOREAL CAPITAL SECURITIES LLC

BD
CRD#: 158599
MIAMI, FL
Past

December 14, 2016 - May 17, 2019

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
MIAMI, FL
Past

March 22, 2016 - September 21, 2016

PFS INVESTMENTS INC.

BD
CRD#: 10111
WOODLAND PARK, NJ
Past

November 9, 2009 - August 27, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

November 9, 2009 - August 27, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

May 13, 2009 - September 9, 2009

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

May 11, 2009 - September 9, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY
Past

October 25, 2002 - February 21, 2008

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

December 13, 2001 - February 21, 2008

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(5/27/2021)
RR
Alaska
(5/27/2021)
RR
Arizona
(5/27/2021)
RR
Arkansas
(5/27/2021)
RR
California
(5/27/2021)
RR
Colorado
(5/27/2021)
RR
Connecticut
(5/27/2021)
RR
Delaware
(5/27/2021)
RR
District of Columbia
(5/27/2021)
RR
Florida
(5/27/2021)
RR
Georgia
(5/27/2021)
RR
Hawaii
(5/27/2021)
RR
Idaho
(5/27/2021)
RR
Illinois
(5/27/2021)
RR
Indiana
(5/27/2021)
RR
Iowa
(5/27/2021)
RR
Kansas
(5/27/2021)
RR
Kentucky
(5/27/2021)
RR
Louisiana
(5/27/2021)
RR
Maine
(5/27/2021)
RR
Maryland
(5/27/2021)
RR
Massachusetts
(5/27/2021)
RR
Michigan
(5/27/2021)
RR
Minnesota
(5/27/2021)
RR
Mississippi
(5/27/2021)
RR
Missouri
(5/27/2021)
RR
Montana
(5/27/2021)
RR
Nebraska
(5/27/2021)
RR
Nevada
(5/27/2021)
RR
New Hampshire
(5/27/2021)
RR
New Jersey
(5/27/2021)
RR
New Mexico
(5/27/2021)
RR
New York
(5/27/2021)
RR
North Carolina
(5/27/2021)
RR
North Dakota
(5/27/2021)
RR
Ohio
(5/28/2021)
RR
Oklahoma
(5/27/2021)
RR
Oregon
(5/27/2021)
RR
Pennsylvania
(5/27/2021)
RR
Puerto Rico
(3/21/2022)
RR
Rhode Island
(5/27/2021)
RR
South Carolina
(5/27/2021)
RR
South Dakota
(5/27/2021)
RR
Tennessee
(5/27/2021)
RR
Texas
(5/27/2021)
RR
Utah
(5/27/2021)
RR
Vermont
(5/27/2021)
RR
Virginia
(5/27/2021)
RR
Washington
(5/27/2021)
RR
West Virginia
(5/27/2021)
RR
Wisconsin
(5/27/2021)
RR
Wyoming
(5/27/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/30/2019
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/22/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/11/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 10/10/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/22/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.

CRD#: 39473 / SEC#: , 8-48711

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRADESTATION GROUP, INC.OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELLPRINCIPAL OPERATIONS OFFICER2363046
KOROTKIY, PETERPRESIDENT & CHIEF OPERATING OFFICER2706102
MORMILE-WOLPER, MYRA CHRISTINEGENERAL COUNSEL AND ASSISTANT SECRETARY6753154
ROJEK, JAMES HCHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER3096214
WALTON, HERBERTCHIEF COMPLIANCE OFFICER4030847

Disclosures

Regulatory Event28
Arbitration4

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.

Company Information

TRADESTATION SECURITIES, INC.

CRD#: 39473Plantation, FL 33324

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