IG
Ivan M. Gutierrez
PRINCIPAL ADVISED SERVICES
Miami Lakes, FL
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CRD#: 7517967
IG
Professional summary
Ivan Mitchell Gutierrez Jr, who also goes by IVan Mitchell Gutierrez, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Miami Lakes, Florida and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Ivan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Ivan has worked at 5 firms and has passed the Series 66, Series 63, Series 3, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ivan Mitchell Gutierrez
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.
**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/30/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL ADVISED SERVICES POSITION POSITION: 4.Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/30/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: PRINCIPAL ADVISED SERVICES POSITION: Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities.
CRS (Client Relationship Summary) - RIA
Click below to view Ivan Mitchell Gutierrez Jr's 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®
NoneExperience
Current
October 21, 2024 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
Miami Lakes, FL
Current
October 10, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
March 30, 2023 - August 11, 2023
TRADESTATION SECURITIES, INC.
BD
CRD#: 39473
PLANTATION, FL
Past
February 15, 2023 - March 15, 2023
PFS INVESTMENTS INC.
RIA
CRD#: 10111
MIAMI, FL
Past
October 13, 2022 - March 15, 2023
PFS INVESTMENTS INC.
BD
CRD#: 10111
MIAMI, FL
Past
June 30, 2022 - September 21, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MIAMI, FL
Past
April 21, 2022 - June 27, 2022
PFS INVESTMENTS INC.
BD
CRD#: 10111
SAN MARCOS, CA
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 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.RR
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
RR
Alabama(10/10/2024)
RR
Alaska(10/10/2024)
RR
Arizona(10/10/2024)
RR
Arkansas(10/10/2024)
RR
California(10/10/2024)
RR
Colorado(10/10/2024)
RR
Connecticut(10/10/2024)
RR
Delaware(10/10/2024)
RR
District of Columbia(10/10/2024)
RR
Florida(10/10/2024)
IAR
Florida(10/31/2024)
RR
Georgia(10/10/2024)
RR
Hawaii(10/10/2024)
RR
Idaho(10/10/2024)
RR
Illinois(10/10/2024)
RR
Indiana(10/10/2024)
RR
Iowa(10/10/2024)
IAR
Iowa(10/21/2024)
RR
Kansas(10/10/2024)
RR
Kentucky(10/10/2024)
RR
Louisiana(10/10/2024)
RR
Maine(10/10/2024)
RR
Maryland(10/10/2024)
RR
Massachusetts(10/10/2024)
RR
Michigan(10/10/2024)
RR
Minnesota(10/10/2024)
RR
Mississippi(10/10/2024)
RR
Missouri(10/10/2024)
RR
Montana(10/10/2024)
RR
Nebraska(10/10/2024)
RR
Nevada(10/10/2024)
RR
New Hampshire(10/10/2024)
RR
New Jersey(10/10/2024)
RR
New Mexico(10/10/2024)
RR
New York(10/10/2024)
RR
North Carolina(10/10/2024)
RR
North Dakota(10/10/2024)
RR
Ohio(10/10/2024)
RR
Oklahoma(10/10/2024)
RR
Oregon(10/10/2024)
RR
Pennsylvania(10/10/2024)
RR
Rhode Island(10/10/2024)
RR
South Carolina(10/10/2024)
RR
South Dakota(10/10/2024)
RR
Tennessee(10/10/2024)
RR
Texas(10/10/2024)
RR
Utah(10/10/2024)
RR
Vermont(10/10/2024)
RR
Virginia(10/10/2024)
RR
Washington(10/10/2024)
RR
West Virginia(10/10/2024)
RR
Wisconsin(10/10/2024)
RR
Wyoming(10/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/10/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/21/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
