Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Alfonso Gutierrez is an investment advisor representative who has been in the industry since October 15, 2018. Luis is currently registered with RBC Capital Markets, LLC and is licensed in 24 states. Luis has previously worked for UBS Financial Services Inc. and RBC Capital Markets, LLC. Luis has passed the Series 63, Series 65, Series 7 and SIE exams. Luis provides financial planning, pension consulting, educational seminars, and portfolio management services to individuals, businesses, investment companies, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
08/10/2021 - Present
RBC Capital Markets, LLC (EL SEGUNDO CA)
CA
05/19/2021 - 08/16/2021
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
CA
10/16/2018 - 05/25/2021
RBC CAPITAL MARKETS, LLC (CENTURY CITY CA)
BC
Issued 11/05/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/12/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2018
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Luis Gutierrez is the right advisor for you? Invested Better is here to help.
