Carlos M. Batista Gutierrez

VALLEY WEALTH MANAGERS

New York, NY 10017

CRD#: 7030199

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Professional summary

Carlos Miguel Batista Gutierrez, who also goes by Carlos Batista, Carlos M Batista, Carlos Miguel Batista, Carlos Batistagutierrez, Carlos Miguel Gutierrez, Carlos M Gutierrez, Carlos Gutierrez, is a registered financial advisor currently at VALLEY WEALTH MANAGERS, INC. located in New York, New York and VALLEY FINANCIAL MANAGEMENT, INC. located in New York, New York.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Carlos has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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 Carlos Miguel Batista 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®

None

Experience

Current

June 11, 2026 - Present

VALLEY WEALTH MANAGERS, INC.

Office #1: 350 Madison Avenue, New York, NY 10017

RIA

CRD#: 108879

New York, NY

Current

June 23, 2026 - Present

VALLEY FINANCIAL MANAGEMENT, INC.

Office #1: 350 Madison Ave. Compliance 4th Floor, New York, NY 10017

RIA

CRD#: 105387

NEW YORK, NY

Current

June 11, 2026 - Present

VALLEY FINANCIAL MANAGEMENT, INC.

Office #1: 350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017

RIA

CRD#: 105387

NEW YORK, NY

Past

February 24, 2023 - May 26, 2026

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

October 11, 2022 - May 26, 2026

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

March 9, 2022 - September 26, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

GARDEN CITY, NY

Past

November 17, 2021 - December 20, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 19, 2018 - March 3, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

JACKSON HEIGHTS, NY

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".

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/11/2026)

IAR

New York
(6/11/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/24/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/30/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/19/2021

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 11/19/2018

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/2/2018

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 1/20/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VALLEY WEALTH MANAGERS, INC.

HALLMARK CAPITAL MANAGEMENT | VALLEY WEALTH MANAGERS, INC. | NEW CENTURY ASSET MANAGEMENT | HALLMARK CAPITAL MANAGEMENT INC

CRD#: 108879 / SEC#: 801-25461

RIA

Registered Investment Advisory firm - (10/11/1985 Approved)

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Contact information

Main Address

80 East Ridgewood Ave Suite 3, Paramus, NJ 07652

Mailing Address

Phone number

(888) 794-7940

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VWM FORM ADV PART 2A (3/28/2025)

VWM WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,957
AUM (Assets Under Management)	$ 2,317,257,859

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2024	Cover Page	Report
09/07/2023	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.

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Firm Stability Insights

Carlos M. Batista Gutierrez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Miguel Batista Gutierrez's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALLEY FINANCIAL MANAGEMENT, INC.

VALLEY FINANCIAL MANAGEMENT, INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

VALLEY WEALTH MANAGERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/24/2023

Series 63

Date: 11/30/2018

Series 7TO

Date: 11/19/2021

Series 6TO

Date: 11/19/2018

SIE

Date: 11/2/2018

Series 24

Date: 1/20/2023

FINRA

Current Firm

VALLEY WEALTH MANAGERS, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VALLEY WEALTH MANAGERS, INC.

TRUST BUT VERIFY

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