Nicholas J. Gutierrez

JSF FINANCIAL

Los Angeles, CA 90048

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CRD#: 7555172

Professional summary

Nicholas Joseph Gutierrez is a registered financial advisor currently at JSF FINANCIAL, LLC located in Los Angeles, California and NEWEDGE SECURITIES, LLC located in Los Angeles, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Nicholas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. JSF Financial*Yes Invest*Los Angeles, CA*Associate*Financial Services*5/23/22*160 per mnth-120 during trade 2. NewEdge Securities LLC*Yes Investment*Pittsburgh, PA*Registered Representative*9/2022*10 per month-10 hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Joseph 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

September 7, 2025 - Present

JSF FINANCIAL, LLC

Office #1: Jsf Financial Llc 6300 Wilshire Blvd., Suite 2100, Los Angeles, CA 90048

RIA

CRD#: 114025

Los Angeles, CA

Current

January 27, 2023 - Present

NEWEDGE SECURITIES, LLC

Office #1: 6300 Wilshire Blvd Suite 2100, Los Angeles, CA 90048

CRD#: 10674

LOS ANGELES, 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".

JSF FINANCIAL, LLC

JEFFREY SETH FISHMAN | JSF FINANCIAL, LLC

CRD#: 114025 / SEC#: 801-71250

RIA

Registered Investment Advisory firm - (3/30/2010 Approved)

California

Registered Investment Advisory firm - (4/13/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(5/6/2024)

IAR

California
(9/7/2025)

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: 5/1/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/27/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/12/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

JSF FINANCIAL, LLC

JEFFREY SETH FISHMAN | JSF FINANCIAL, LLC

CRD#: 114025 / SEC#: 801-71250

RIA

Registered Investment Advisory firm - (3/30/2010 Approved)

California

Registered Investment Advisory firm - (4/13/2010 Terminated)

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Contact information

Main Address

6300 Wilshire Blvd. Suite 2100, Los Angeles, CA 90048

Mailing Address

Phone number

(323) 866-0833

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: JSF FINANCIAL LLC FIRM BROCHURE (4/2/2025)

PART 2A APPENDIX 1 OF FORM ADV: JSF WRAP FEE PROGRAM BROCHURE (4/2/2025)

Regulatory assets under management

Total Number of Accounts	2,633
AUM (Assets Under Management)	$ 1,730,429,115

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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Nicholas J. Gutierrez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Joseph Gutierrez's CRS (Customer Relationship Summary).

Certified licenses

Experience

JSF FINANCIAL, LLC

NEWEDGE SECURITIES, LLC

Primary Firm SEC Registration

JSF FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/1/2024

Series 7TO

Date: 1/27/2023

SIE

Date: 9/12/2022

FINRA

Nasdaq Stock Market

Current Firm

JSF FINANCIAL, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JSF FINANCIAL, LLC

TRUST BUT VERIFY

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