Michael Walter Gutierrez
Professional Summary
Michael Walter Gutierrez is a registered financial advisor currently at CBOE FIXED INCOME MARKETS, LLC located in Chicago, Illinois. Michael is registered as a RR (Registered Representative) and started their career in finance in 2014. Michael has worked at 3 firms and has passed the Series 63, Series 62, SIE, Series 57, Series 3, Series 7, Series 14, Series 10, Series 9, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
CBOE FIXED INCOME MARKETS, LLC
Contact Information
Main Address
17 State Street 31st Floor, New York, NY 10004Mailing Address
17 State Street 31st Floor, New York, NY 10004Phone Number
(212) 378-8520Established
Delaware since 05/25/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2018About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2018About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Walter Gutierrez's CRS (Customer Relationship Summary).
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