Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rafael? Claim Your ProfileRafael Gutierrez is an active investment advisor representative with over 10 years of experience in the financial industry. Rafael has worked with several firms over the years, including Commonwealth Financial Network, Allstate Financial Services, LLC, and LPL Financial LLC. Currently, Rafael is a registered representative at Merrill Lynch, Pierce, Fenner & Smith Inc. Rafael has a broad range of experience working with individuals, high-net-worth clients, corporations, and institutions. Rafael offers a variety of services, including portfolio management, financial planning, pension consulting, and educational seminars.
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
MD
06/08/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTH BETHESDA MD)
VA
07/20/2021 - 03/28/2023
LPL FINANCIAL LLC (HERNDON VA)
MD
10/04/2018 - 11/05/2018
COMMONWEALTH FINANCIAL NETWORK (Bethesda MD)
VA
08/24/2018 - 10/08/2018
ALLSTATE FINANCIAL SERVICES, LLC (FAIRFAX VA)
DC
09/24/2008 - 05/09/2012
ICMA-RC SERVICES, LLC (WASHINGTON DC)
VA
08/04/2008 - 09/17/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MCLEAN VA)
VA
12/12/2007 - 05/28/2008
THRIVENT INVESTMENT MANAGEMENT INC. (ALEXANDRIA VA)
IA
05/18/2005 - 02/01/2006
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
NY
09/08/2004 - 04/08/2005
PARK AVENUE SECURITIES LLC (NEW YORK NY)
MN
01/24/2003 - 04/15/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
07/16/2002 - 04/15/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/16/2002 - 10/14/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 12/29/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/21/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2018
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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