Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Manuel Gutierrez is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Luis has been in the financial services industry since 1997. Luis has been a Registered Representative (Series 7) since 1997 and a Registered Investment Advisor (Series 65) since 1997. Luis has a total of 7 approved SRO registrations and 6 approved state registrations. Luis also holds the Securities Industry Essentials Examination (SIE) certification. Luis has experience with Wells Fargo Clearing Services, LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and Bank of America, N.A. Luis has experience in portfolio management for individuals and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
06/04/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
06/06/2019 - 06/10/2021
WELLS FARGO CLEARING SERVICES, LLC (HOUSTON TX)
TX
06/01/2009 - 06/07/2019
MORGAN STANLEY (Houston TX)
TX
01/04/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
TX
05/13/1997 - 01/09/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HOUSTON TX)
IA
Issued 06/03/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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