Dominic R. Gutierrez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dominic Robert Gutierrez was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 2004. Dominic had worked at 2 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2004 - December 31, 2005
FIRST FOUNDERS SECURITIES, INC.
June 2, 2004 - June 18, 2004
STONEX 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
Exams
Current Firm
FIRST FOUNDERS SECURITIES, INC.
CRD#: 128624 / SEC#: , 8-66160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, MARK FRANCIS | DIRECTOR/PRINCIPAL | 1089588 |
| DRUTAU, MAYA A. | FINANCIAL OPERATIONS PRINCIPAL | 4580500 |
| GRAHAM, MARK FRANCIS II | VICE PRESIDENT/PRINCIPAL | 2998648 |
| HALLAX, SHARON DIEHL | CHIEF COMPLIANCE OFFICER | 2343703 |
| HALLAX, SHARON DIEHL | TREASURER | 2343703 |
| HALLAX, SHARON DIEHL | PRESIDENT | 2343703 |
| HALLAX, SHARON DIEHL | SECRETARY | 2343703 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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