Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julian? Claim Your ProfileJulian Gutierrez is an active broker and investment advisor representative with Stifel, Nicolaus & Company, Inc. Julian has been in the industry since May 2003. Julian has a broad range of experience having previously worked at Guggenheim Securities, LLC, Pieropoint Securities LLC, Keefe, Bruyette & Woods, Inc., UBS Securities LLC, ABN AMRO INCORPORATED, Prudential Securities Incorporated, and J. W. Gant & Associates, Inc. Julian is registered in 46 states and has passed the Series 7, Series 63, Series 65, and the SIE exam. Julian provides portfolio management for businesses and individuals, financial planning services, and pension consulting.
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.
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
NY
03/29/2017 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
02/24/2014 - 02/12/2016
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
03/20/2012 - 09/12/2013
PIERPONT SECURITIES LLC (NEW YORK NY)
NY
03/24/2008 - 08/04/2011
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
NY
09/14/2005 - 10/10/2007
UBS SECURITIES LLC (NEW YORK NY)
CT
08/27/2003 - 02/25/2005
ABN AMRO INCORPORATED (STAMFORD CT)
NY
10/05/1992 - 11/29/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/23/1992 - 05/22/1992
J. W. GANT & ASSOCIATES, INC.
BC
Issued 08/26/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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