Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Gutierrez is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Ricardo has been in the securities industry since August 30, 2000. Ricardo is a Series 63, 66, 7, 52 and SIE licensed professional. In addition to working with Merrill Lynch, Pierce, Fenner & Smith Inc., Ricardo was previously employed by OLDE DISCOUNT CORPORATION. Ricardo has experience working with high-net-worth individuals, corporations, pension and profit-sharing plans, insurance companies, and charitable organizations.
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
NY
06/24/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
MI
09/20/1995 - 04/09/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 05/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1995
Series 7 - General Securities Representative Examination
BC
Issued 09/19/1995
Series 52 - Municipal 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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