Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Gutierrez is a financial advisor who has been in the industry since 1999. Richard is currently registered with J.P. Morgan Securities LLC. Before this, Richard worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, VALIC FINANCIAL ADVISORS, INC., THE VARIABLE ANNUITY MARKETING COMPANY, and VAN KAMPEN FUNDS INC.. Richard Gutierrez holds Series 6, 7, 63, and 66 licenses. Richard Gutierrez has a specializations in several areas, including Financial Planning, Pension Consulting, Selection of Other Advisors, Portfolio Management for Businesses, and Portfolio Management for Individuals.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
12/16/2022 - Present
J.p. Morgan Securities LLC (The Woodlands TX)
TX
01/12/2015 - 10/25/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE WOODLANDS TX)
TX
11/30/2000 - 05/02/2013
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
TX
11/30/2000 - 12/31/2001
THE VARIABLE ANNUITY MARKETING COMPANY (HOUSTON TX)
TX
11/09/1999 - 11/15/2000
VAN KAMPEN FUNDS INC. (HOUSTON TX)
BOTH
Issued 06/03/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1999
Series 6 - Investment Company Products/Variable Contracts 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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