David H. Gutierrez

GUTIERREZ WEALTH ADVISORY

Little Rock, AR 72211

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CRD#: 4988450

Professional summary

David Hale Gutierrez, CFP®, CIMA® is a registered financial advisor currently at GUTIERREZ WEALTH ADVISORY, LLC located in Little Rock, Arkansas and PURSHE KAPLAN STERLING INVESTMENTS located in Little Rock, Arkansas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Gutierrez Wealth Advisory. Investment related. At registered location. RIA. Co-Founder/Wealth Advisor/CCO. 10/2022. Hrs/month 160 all during trading hours. Support and maintain compliance program, provide wealth management services for retail and retirement clients. 2) Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. 10/2022. Hrs/month 4 all during trading hours. Sales of fixed/traditional insurance products. 3) PKSF. Investment related. At registered location. Fixed/Traditional Insurance. Agent. 10/2022. Hrs/month 4 all during trading hours. Sales of fixed/traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hale 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®

CFP^®

Certified Financial Planner

Start date: 2010

CIMA^®

Certified Investment Management Analyst

Experience

Current

October 23, 2022 - Present

GUTIERREZ WEALTH ADVISORY, LLC

Office #1: 10801 Executive Center Dr. Suite 103, Little Rock, AR 72211

RIA

CRD#: 319481

Little Rock, AR

Current

October 25, 2022 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 10801 Executive Center Dr. Suite 103, Little Rock, AR 72211Office #2: 80 State Street, Albany, NY 12207

CRD#: 35747

Little Rock, AR

Past

September 21, 2007 - November 4, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LITTLE ROCK, AR

Past

September 5, 2007 - November 4, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LITTLE ROCK, AR

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".

GUTIERREZ WEALTH ADVISORY, LLC

CRD#: 319481 / SEC#: 801-126693

RIA

Registered Investment Advisory firm - (10/3/2022 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.

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

IAR

Arkansas
(10/23/2022)

Arkansas
(10/25/2022)

Florida
(10/25/2022)

Kentucky
(4/5/2024)

North Carolina
(10/25/2022)

Oklahoma
(10/10/2023)

Texas
(10/25/2022)

IAR

Texas
(12/6/2022)

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

IAR

Series 66

Date: 9/20/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GUTIERREZ WEALTH ADVISORY, LLC

CRD#: 319481 / SEC#: 801-126693

RIA

Registered Investment Advisory firm - (10/3/2022 Approved)

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Contact information

Main Address

10801 Executive Center Dr. Ste. 103, Little Rock, AR 72211

Mailing Address

Phone number

(501) 451-6900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV BROCHURE PART 2A (11/11/2025)

Regulatory assets under management

Total Number of Accounts	469
AUM (Assets Under Management)	$ 280,347,421

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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David H. Gutierrez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Hale Gutierrez's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

GUTIERREZ WEALTH ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2007

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2007

FINRA

Current Firm

GUTIERREZ WEALTH ADVISORY, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUTIERREZ WEALTH ADVISORY, LLC

TRUST BUT VERIFY

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