Unclaimed Profile

Franklin Thomas Gutierrez

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC·CHARLOTTE, North Carolina

SIE, Series 7, Series 9, Series 10, Series 24, Series 52TO, Series 53, Series 63, Series 65, Series 79TO, Series 99TOClean record23 years registeredCAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

1355 GREENWOOD CLIFF, CHARLOTTE, NC 28204CRD# 1796271Firm CRD# 131631

Profile Verification

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

Identity

Franklin Thomas Gutierrez · CHARLOTTE, NC

Registration

CRD #1796271 · CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC · 23 years registered

Brand Profile

Not yet started

Career History

CITIGROUP GLOBAL MARKETS INC.

May 2017 – present

CITIGROUP GLOBAL MARKETS INC.

May 2017 – present

STONECREST ADVISORS, INC.

Aug 2016 – Jun 2017

Doral, FL

STONECREST ADVISORS, INC.

May 2015 – Aug 2015

DORAL, FL

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Mar 2010 – Jul 2014

MIAMI, FL

CITIGROUP GLOBAL MARKETS INC.

May 2007 – Oct 2009

MIAMI, FL

CITICORP INVESTMENT SERVICES

Jun 2003 – May 2007

MIAMI, FL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 24

Series 52TO

Series 53

Series 63

Series 65

Series 79TO

Series 99TO

Registration record

First registered · June 18, 2003

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CRD 131631 · SEC 801-63969

AUM

$465M

Regulatory assets under management

Employees

860 client accounts

Services offered by CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Franklin Thomas Gutierrez offer?

Franklin Thomas Gutierrez specializes in Financial Planning, Investment Management. Contact their office in CHARLOTTE, North Carolina for a consultation.

What are Franklin Thomas Gutierrez's credentials?

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

Where is Franklin Thomas Gutierrez located?

Franklin Thomas Gutierrez is based in CHARLOTTE, North Carolina, working with CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC. Their office serves clients in the CHARLOTTE metropolitan area and surrounding communities.

How does Franklin Thomas Gutierrez charge for services?

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

How large is CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC?

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC has approximately 30 employees and manages $465M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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