Michael Vincent 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.
Michael Vincent Recto Gutierrez was a registered financial professional .
Michael Vincent is a previously registered financial professional and started their career in finance in 2005. Michael Vincent had worked at 8 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2018 - July 1, 2020
USAA INVESTMENT SERVICES COMPANY
January 7, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
September 15, 2011 - June 19, 2020
USAA FINANCIAL ADVISORS, INC.
May 19, 2010 - October 15, 2010
J.P. TURNER & COMPANY, L.L.C.
August 12, 2008 - November 4, 2008
DIRECT CAPITAL SECURITIES, INC.
January 22, 2008 - August 7, 2008
CHARTER PACIFIC SECURITIES, LLC
November 13, 2007 - January 24, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 13, 2007 - January 24, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 28, 2006 - August 4, 2006
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 28, 2006 - July 17, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 23, 2005 - May 2, 2006
WADDELL & REED
October 21, 2005 - May 2, 2006
WADDELL & REED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
