Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Gutierrez is a financial advisor with over 14 years of experience in the financial services industry. Carlos is registered with Raymond James & Associates, Inc. and has previously worked with Northwestern Mutual Investment Services, LLC, Morgan Stanley and Citigroup Global Markets Inc.. Carlos specializes in providing financial planning, portfolio management, and investment advisory services to individuals, corporations, and charitable organizations. He holds a Series 7 and Series 66 licenses, as well as the Securities Industry Essentials (SIE) exam. Carlos is committed to providing his clients with personalized financial advice and guidance that helps them achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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.
1
2
FL
06/22/2022 - Present
Raymond James & Associates, Inc. (CORAL GABLES FL)
FL
05/23/2022 - 06/30/2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CORAL GABLES FL)
FL
06/01/2009 - 02/23/2022
MORGAN STANLEY (Coral Gables FL)
FL
11/24/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CORAL GABLES FL)
FL
04/27/2007 - 08/20/2007
AMERIPRISE FINANCIAL SERVICES, INC. (PLANTATION FL)
BOTH
Issued 05/17/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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