Karis J. Gutierrez
Professional summary
Karis Jade Gutierrez is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.
Karis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Karis has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karis Jade Gutierrez's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2025 - Present
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Office #1: 333 S. Hope St. 55th Floor, Los Angeles, CA, 90071January 4, 2016 - August 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2015 - August 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/21/2025)
(3/10/2025)
(1/26/2025)
(1/27/2025)
(1/26/2025)
(1/26/2025)
Exams
Current Firm
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
Red Flags
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