MG
Manuel E. Gutierrez
PRINCIPAL SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 8044298
MG
Manuel Eduardo GutierrezPRINCIPAL SECURITIES
Professional summary
Manuel Eduardo Gutierrez, who also goes by Manuel Gutierrez, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in West Des Moines, Iowa.
Manuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Manuel has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Manuel 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.
**UNICO CONSULTING, LLC POSITION: Principal NATURE: Owner/LLC INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 04/30/2021 ADDRESS: 2501 SE 17th St, Des Moines, IA 50320 DESCRIPTION: Founder & Principal Consultant of Unico Consulting, LLC. Unico Consulting is a small business consulting firm specializing in business strategy consulting. The consulting business is currently in development. Thus, there are no revenues and/or economic activity at the moment. In the future, as the business becomes profitable, compensation may be received accordingly. **ASSOCIATION OF LATINO PROFESSIONALS OF AMERICA - DES MOINES CHAPTER POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2023 ADDRESS: 2501 SE 17th St, Des Moines, IA 50320 DESCRIPTION: ALPFA is a national nonprofit organization created in 1972. ALPFA supports over 100,000 Latino students, professionals, and entrepreneurs through more than 45 professional chapters and 160 student chapters at major colleges and universities nationwide. **JUNIOR ACHIEVEMENT OF CENTRAL IOWA POSITION: Board Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 6100 Grand Ave, Des Moines, IA 50312 DESCRIPTION: Junior Achievement of Central Iowa (JA of Central Iowa) is a nonprofit organization dedicated to inspiring and preparing young people for success in a global economy. Serving 52 of Iowa's 99 counties, JA offers both in-classroom programs and experiential onsite initiatives like JA BizTown and JA Finance Park. These programs provide students with practical experiences in financial literacy, entrepreneurship, and career readiness, enabling them to make informed decisions in simulated real-world environments. **ESENCIA CONSTRUCTION, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 06/02/2025 ADDRESS: 2501 SE 17th St, Des Moines IA 50320, United States DESCRIPTION: Founder & Owner of Esencia Construction, LLC. Esencia Construction is a single-member general contracting business currently in development. The company plans to offer a range of construction-related services. At this time, there are no employees, revenue, or economic activity. Compensation may be received in the future as the business develops and generates revenue. **FIXED INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 24 START DATE: 09/05/2025 ADDRESS: 6701 Westown Parkway, Suite 200, West Des Moines IA 50266, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long-Term Care, Health, Medicare Supplements, Group Benefits.
CRS (Client Relationship Summary) - RIA
Click below to view Manuel Eduardo Gutierrez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Manuel Eduardo Gutierrez'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
May 30, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Current
April 30, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arizona(5/30/2025)
RR
California(5/30/2025)
RR
Colorado(5/30/2025)
RR
Florida(5/30/2025)
RR
Illinois(5/30/2025)
RR
Iowa(5/30/2025)
IAR
Iowa(5/30/2025)
RR
Kansas(5/30/2025)
RR
Minnesota(5/30/2025)
RR
Missouri(5/30/2025)
RR
Nebraska(5/30/2025)
RR
Texas(5/30/2025)
IAR
Texas(5/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/29/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 |
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.
