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Roy David Gutierrez

Gutierrez Wealth Advisory, LLC

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About Roy David Gutierrez

Roy David Gutierrez is an investment advisor representative with Gutierrez Wealth Advisory, LLC. Roy has been in the industry since 1981 and has a strong track record of success. Roy holds Series 7, 63, and 65 licenses as well as the SIE designation. Gutierrez Wealth Advisory, LLC is a registered investment advisor that provides financial planning and investment management services to individuals, families, and businesses. The firm has a strong commitment to client service and strives to provide personalized advice that meets the unique needs of each client.

Firm Information

Roy Gutierrez is currently registered with Gutierrez Wealth Advisory, LLC. Gutierrez Wealth Advisory, LLC is a financial advisor headquartered in LITTLE ROCK, AR. They manage $229,841,465 in assets and have 433 accounts. They offer a variety of advisory services including financial planning, pension consulting, and portfolio management. Their client base includes high-net-worth individuals, corporations, and charitable organizations. They also work with irrevocable trusts.
Gutierrez Wealth Advisory, LLC

10801 EXECUTIVE CENTER DR.

LITTLE ROCK, AR 72211

$229.84M

Assets Under Management

5

Total Clients

4

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Roy Gutierrez’s Registration & Firm History

AR

11/07/2023 - Present

Gutierrez Wealth Advisory, LLC (Little Rock AR)

AR

06/10/1987 - 11/04/2022

UBS FINANCIAL SERVICES INC. (LITTLE ROCK AR)

NA

10/22/1981 - 06/12/1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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Licenses & Designations

IA

Issued 12/06/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/05/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Roy David Gutierrez. Review regulatory record here.
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