Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Gregory Gutierrez is a financial advisor with over 6 years of experience in the industry. Alex is registered with LPL Financial LLC as a Registered Representative and Investment Advisor Representative. Alex has previously worked with TD Ameritrade, Inc. and Scottrade, Inc. Alex holds Series 63, 66, 7, 9, and 10 licenses. Alex is registered in 53 states and the District of Columbia for Broker-Dealer and Investment Advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
02/24/2020 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
02/26/2018 - 02/19/2020
TD AMERITRADE, INC. (San Diego CA)
CA
08/18/2015 - 02/26/2018
SCOTTRADE, INC. (OCEANSIDE CA)
CA
08/04/2014 - 08/19/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN JUAN CAPISTRANO CA)
BOTH
Issued 04/21/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/05/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/18/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/31/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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