RG
Rafael Gutierrez
KOVACK ADVISORS
Laredo, TX 78041
Some features on this profile are disabled
CRD#: 4772599
RG
Professional summary
Rafael Gutierrez, who also goes by Rafael Gutierrez Jr, Rafael Gutierrez Nieto, is a registered financial advisor currently at KOVACK ADVISORS, INC. located in Laredo, Texas and KOVACK SECURITIES INC. located in Laredo, Texas.
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Rafael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rafael Gutierrez Jr | Rafael Gutierrez Nieto
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.
1) DBA FARO FX, LLC - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041 - NON-INVESTMENT RELATED; ENGAGE IN CORPORATE AND HIGH NET WORTH CURRENCY EXCHANGE; PARTNER; 10% OF TIME SPENT. 2) GAVIX INVESTMENT MANAGEMENT,LLC - DBA -FARO WEALTH - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041; INVESTMENTS; INVESTMENT RELATED; MEMBER/FINANCIAL ADVISOR; MANAGE CLIENT ACCOUNTS; 100% OF TIME SPENT 3) REGISTERED INSURANCE AGENT - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041; SELLING VARIABLE AND FIXED ANNUITIES; AGENT; INVESTMENT RELATED; MARKET AND MANAGE INSURANCE PRODUCT; <1% OF TIME SPENT 4) BEACON POINTER INSURANCE - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041; OWNER; MANAGEMENT OF PROPERTY, CASUALTY, COMMERCIAL INSURANCE; NON-INVESTMENT RELATED BUSINESS; 10% OF TIME SPENT 5) LAREDO COUNTRY CLUB - 1415 COUNTRY CLUB DRIVE, LAREDO, TX 78045; NON-INVESTMENT RELATED; ESTABLISHING POLICIES AND OBJECTIVES FOR THE COUNTRY CLUB; BOARD MEMBER; 1% OF TIME SPENT. 6) COMMERCIAL REAL ESTATE PURCHASE - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; REAL ESTATE; OWNER; 0% OF TIME SPENT. 7) FARO FACTORING, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; FACTORING BUSINESS; MINORITY PARTNER; 2-5% OF TIME SPENT. 8) SL PARTNERS LLC - 406 NAFTA BLVD, LARERO TX 78045; NON-INVESTMENT RELATED; HOLDING COMPANY; PARTNER; 1% OF TIME SPENT. 9) SPOT LOGISTICS INC - 406 NAFTA BLVD, LARERO TX 78045; NON-INVESTMENT RELATED; LOGISTICS; DIRECTOR; 1% OF TIME SPENT. 10) BEACON INSURANCE ACQUISITIONS, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; INVESTMENT RELATED; INSURANCE SALES; OWNER; 1% OF TIME SPENT. 11) SPOT CHB - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE JUNE 24, 2024; TRANSPORTATION & LOGISTICS COMPANY; PARTNER; LESS THAN 1 HOUR/MONTH OF TIME SPENT. 12) WHEELS DOWN ASSETS - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE 12/30/24; TRANSPORTATION; OWNER; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 13) WHEELS DOWN TRANSPORTATION - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE 12/30/24; TRANSPORTATION; OWNER; 5 HOURS/MONTH DEVOTED TO OTHER BUSINESS; 10 HOURS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 14) WHEELS DOWN PARTNERS - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE 12/30/24; THIS ENTITY WILL OWN WHEELS DOWN TRANSPORTATION 100%; OWNER; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 15) FARO HOME LOANS, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE MAY 1, 2025; MORTGAGE; OWNER; 5 HOURS/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Gutierrez's 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®
NoneExperience
Current
February 28, 2014 - Present
KOVACK ADVISORS, INC.
Office #1: 7613 Rocio Drive Suite 1, Laredo, TX 78041Office #2: 19230 Stone Oak Parkway Suite 375, San Antonio, TX 78258RIA
CRD#: 140808
Laredo, TX
Current
February 28, 2014 - Present
KOVACK SECURITIES INC.
Office #1: 7613 Rocio Drive Suite 1, Laredo, TX 78041BD
CRD#: 44848
Laredo, TX
Past
September 9, 2011 - February 28, 2014
FORTITUDE ADVISORY GROUP L.L.C.
RIA
CRD#: 116083
GIG HARBOR, WA
Past
September 9, 2011 - February 28, 2014
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
LAREDO, TX
Past
August 15, 2005 - September 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LAREDO, TX
Past
August 15, 2005 - September 12, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LAREDO, TX
Past
June 18, 2004 - August 2, 2005
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN ANTONIO, TX
Past
April 27, 2004 - August 2, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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".
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)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.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
California(6/14/2019)
RR
Delaware(12/11/2019)
RR
Florida(2/28/2014)
IAR
Florida(3/10/2014)
RR
Illinois(5/16/2023)
RR
New York(12/11/2019)
RR
Texas(2/28/2014)
IAR
Texas(2/28/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
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Contact information
Main Address
6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
Phone number
(954) 782-4771
Established
Firm type
Fiscal year end
# of Employees
330
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,809 |
| AUM (Assets Under Management) | $ 5,533,506,324 |
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
KOVACK ADVISORS, INC.
CRD#: 140808Laredo, TX 78041TRUST BUT VERIFY
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