David L. Gutterman

WELLESLEY HILLS SECURITIES

NEWTON, MA 02459

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CRD#: 4558393

Professional summary

David Lawton Gutterman is a registered financial professional currently at WELLESLEY HILLS SECURITIES located in Newton, Massachusetts.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 10 firms and has passed the Series 66, SIE, Series 79, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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 David Lawton Gutterman'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

March 5, 2024 - Present

WELLESLEY HILLS SECURITIES

Office #1: 1087 Beacon Street Suite 303, Newton, MA 02459

CRD#: 315364

NEWTON, MA

Past

October 5, 2023 - February 29, 2024

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

March 1, 2022 - September 8, 2023

STONEHAVEN, LLC

CRD#: 118913

NEW YORK, NY

Past

June 9, 2016 - May 11, 2017

CS PLANNING CORP

RIA

CRD#: 149937

LOS ANGELES, CA

Past

May 4, 2015 - November 4, 2021

MJ CAPITAL PARTNERS, LLC

CRD#: 150938

LOS ANGELES, CA

Past

January 3, 2014 - April 29, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEWPORT BEACH, CA

Past

September 13, 2011 - January 6, 2014

ARBOR ADVISORS, LLC

CRD#: 136950

SALT LAKE CITY, UT

Past

July 15, 2010 - September 1, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CENTURY CITY, CA

Past

July 14, 2010 - September 1, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CENTURY CITY, CA

Past

July 13, 2007 - July 27, 2010

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LOS ANGELES, CA

Past

February 13, 2007 - July 27, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOS ANGELES, CA

Past

August 10, 2004 - December 2, 2004

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

State Registrations and Notice Filings

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

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

Massachusetts
(3/6/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/12/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/29/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 6/30/2007

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/1/2003

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

WELLESLEY HILLS SECURITIES

WELLESLEY HILLS SECURITIES | WELLESLEY HILLS SECURITIES, LLC

CRD#: 315364 / SEC#: , 8-70742

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

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Contact information

Main Address

1087 Beacon Street Suite 303, Newton, MA 02459

Mailing Address

1087 Beacon Street Suite 204, Newton, MA 02459

Phone number

(617) 465-2425

Established

Massachusetts since 08/09/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HARK, ADAM TODD	OWNER	7225011
FLYNN, PETER FRANCIS	CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER/MANAGER	2655124

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

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David L. Gutterman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Lawton Gutterman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINALIS SECURITIES LLC

STONEHAVEN, LLC

CS PLANNING CORP

MJ CAPITAL PARTNERS, LLC

STERNE, AGEE & LEACH, INC.

ARBOR ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

FINANCIAL WEST GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/12/2007

SIE

Date: 10/1/2018

Series 79

Date: 10/29/2011

Series 7

Date: 6/30/2007

Series 3

Date: 12/1/2003

FINRA

Current Firm

WELLESLEY HILLS SECURITIES

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

WELLESLEY HILLS SECURITIES

TRUST BUT VERIFY

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