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LG

Leslie Ann M. Gutierrez

CLIFFORD SWAN INVESTMENT COUNSELORS
Pasadena, CA 91105-1965
Some features on this profile are disabled
CRD#: 4997993
LG

Professional summary

Leslie Ann Manuel Gutierrez, CFP®, who also goes by Leslie Ann Manuel, Leslie Ann Baon Manuel, is a registered financial advisor currently at CLIFFORD SWAN INVESTMENT COUNSELORS located in Pasadena, California.

Leslie Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Leslie Ann has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Leslie Ann Manuel | Leslie Ann Baon Manuel

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) - RIA

Click below to view Leslie Ann Manuel 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: 2017

Experience

Current

April 15, 2025 - Present

CLIFFORD SWAN INVESTMENT COUNSELORS

Office #1: 177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965
RIA
CRD#: 108033
Pasadena, CA
Past

September 26, 2013 - April 17, 2025

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PASADENA, CA
Past

September 25, 2013 - April 17, 2025

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PASADENA, CA
Past

October 5, 2012 - September 16, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
BEVERLY HILLS, CA
Past

October 2, 2012 - September 16, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
BEVERLY HILLS, CA
Past

November 4, 2008 - October 2, 2012

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
CENTURY CITY, CA
Past

November 3, 2008 - October 2, 2012

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CENTURY CITY, CA
Past

June 28, 2007 - November 12, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LOS ANGELES, CA
Past

March 15, 2007 - November 12, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LOS ANGELES, CA

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".
CS
CLIFFORD SWAN INVESTMENT COUNSELORS
CLIFFORD ASSOCIATES | CLIFFORD SWAN INVESTMENT COUNSELORS | CLIFFORD SWAN INVESTMENT COUNSEL LLC | CLIFFORD SWAN INVESTMENT COUNSEL | CLIFFORD SWAN | CLIFFORD ASSOCISTES LLC | CLIFFORD ASSOCIATES LLC

CRD#: 108033 / SEC#: 801-56675

RIA
Registered Investment Advisory firm - (7/27/1999 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.

Highlighted states indicate IAR registrations

IAR
California
(4/15/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/22/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2007
General Securities Representative Examination

Current Firm

CS
CLIFFORD SWAN INVESTMENT COUNSELORS
CLIFFORD ASSOCIATES | CLIFFORD SWAN INVESTMENT COUNSELORS | CLIFFORD SWAN INVESTMENT COUNSEL LLC | CLIFFORD SWAN INVESTMENT COUNSEL | CLIFFORD SWAN | CLIFFORD ASSOCISTES LLC | CLIFFORD ASSOCIATES LLC

CRD#: 108033 / SEC#: 801-56675

RIA
Registered Investment Advisory firm - (7/27/1999 Approved)
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Contact information

Main Address
177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965
Mailing Address
Phone number
(626) 792-2228
Established
Firm type
Fiscal year end
# of Employees
33

SEC notice filing (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CLIFFORD SWAN ADV PART 2A 10 27 2025 (10/27/2025)

Regulatory assets under management

Total Number of Accounts2,522
AUM (Assets Under Management)$ 4,143,559,319

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/21/2025
Cover Page
Report
04/15/2024
Cover Page
Report
08/10/2023
Cover Page
Report

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

CLIFFORD SWAN INVESTMENT COUNSELORS

CRD#: 108033Pasadena, CA 91105-1965

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