Unclaimed Profile

Roy David Gutierrez

GUTIERREZ WEALTH ADVISORY, LLC·LITTLE ROCK, Arkansas

SIE, Series 7, Series 63, Series 6539 years registeredGUTIERREZ WEALTH ADVISORY, LLC

10801 EXECUTIVE CENTER DR., LITTLE ROCK, AR 72211CRD# 1007996Firm CRD# 319481

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Roy David Gutierrez · LITTLE ROCK, AR

Registration

CRD #1007996 · GUTIERREZ WEALTH ADVISORY, LLC · 39 years registered

Brand Profile

Not yet started

Career History

GUTIERREZ WEALTH ADVISORY, LLC

Oct 2022 – present

UBS FINANCIAL SERVICES INC.

Jun 1987 – Nov 2022

LITTLE ROCK, AR

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · June 10, 1987

Years registered · 39

Disclosure History

2008Customer Dispute·Closed-No Action

2003Customer Dispute·Denied

2001Customer Dispute·Denied

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

GUTIERREZ WEALTH ADVISORY, LLC

CRD 319481 · SEC 801-126693

AUM

$230M

Regulatory assets under management

Employees

433 client accounts

Services offered by GUTIERREZ WEALTH ADVISORY, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at GUTIERREZ WEALTH ADVISORY, LLC →

Introduction

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Frequently Asked Questions

What services does Roy David Gutierrez offer?

Roy David Gutierrez specializes in Financial Planning, Investment Management. Contact their office in LITTLE ROCK, Arkansas for a consultation.

What are Roy David Gutierrez's credentials?

Roy David Gutierrez is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Roy David Gutierrez located?

Roy David Gutierrez is based in LITTLE ROCK, Arkansas, working with GUTIERREZ WEALTH ADVISORY, LLC. Their office serves clients in the LITTLE ROCK metropolitan area and surrounding communities.

How does Roy David Gutierrez charge for services?

Roy David Gutierrez's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GUTIERREZ WEALTH ADVISORY, LLC?

GUTIERREZ WEALTH ADVISORY, LLC has approximately 4 employees and manages $230M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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