Rafael A. Gutierrez

VOYA FINANCIAL ADVISORS

Alexandria, VA

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CRD#: 4360060

Professional summary

Rafael Antonio Gutierrez, who also goes by Rafael Antonio Gutierrez II, Rafael Antonio Gutierrez, Rafael Gutierrez, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Alexandria, Virginia.

Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Rafael has worked at 16 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rafael Antonio Gutierrez Ii | Rafael Antonio Gutierrez | Rafael 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.

INDEPENDENT INSURANCE AGENT POSITION: Independent Insurance Agent NATURE: fixed insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/24/2025 ADDRESS: 8000 Tower Crescent Dr., 13th floor, Vienna VA 22182, United States DESCRIPTION: sales of fixed insurance products RAFAEL GUTIERREEZ POSITION: VA Notary NATURE: I am a notary public for the state of VA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/26/2025 ADDRESS: 8000 Tower Crescent Dr., 13th floor, Vienna VA 22182, United States DESCRIPTION: see answer to question 1.6

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafael Antonio Gutierrez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Rafael Antonio 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

January 2, 2025 - Present

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Alexandria, VA

Current

January 2, 2025 - Present

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Alexandria, VA

Past

April 11, 2023 - January 2, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTH BETHESDA, MD

Past

April 5, 2023 - January 2, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTH BETHESDA, MD

Past

August 6, 2021 - March 27, 2023

NORTHWEST FINANCIAL ADVISORS LLC

RIA

CRD#: 166769

HERNDON, VA

Past

July 20, 2021 - March 28, 2023

RIA

CRD#: 6363

CENTREVILLE, VA

Past

July 16, 2002 - October 14, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 16, 2002 - April 15, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 30, 2002 - June 18, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

VIENNA, VA

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".

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston 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.

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

District of Columbia
(1/6/2025)

Maryland
(1/9/2025)

North Carolina
(7/1/2025)

Virginia
(1/2/2025)

IAR

Virginia
(1/2/2025)

West Virginia
(1/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/29/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/21/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

One Orange Way, Windsor, CT 06095

Phone number

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

Regulatory assets under management

Total Number of Accounts	11,854
AUM (Assets Under Management)	$ 2,744,735,129

Disclosures

Regulatory Event	36
Arbitration	9

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.

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Firm Stability Insights

Rafael A. Gutierrez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafael Antonio Gutierrez's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Rafael Antonio Gutierrez's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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PARK AVENUE SECURITIES LLC

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IDS LIFE INSURANCE COMPANY

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IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/29/2021

Series 66

Date: 6/21/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/24/2018

FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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