Jose L. 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.
Jose Luis Gutierrez, who also goes by Jose Luis Gutierrez Jr, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2012. Jose had worked at 2 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - December 3, 2019
TD AMERITRADE, INC.
February 13, 2018 - December 3, 2019
TD AMERITRADE CLEARING, INC.
July 28, 2014 - February 18, 2016
TD AMERITRADE, INC.
June 4, 2012 - July 28, 2014
TD AMERITRADE CLEARING, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
