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Detailed Report
ROY DAVID GUTIERREZ
CRD#: 1007996
IA
Investment Adviser
B
Previous Broker
GUTIERREZ WEALTH ADVISORY, LLCCRD#: 319481 10801 Executive Center Dr.
Ste. 103
Little Rock, AR 72211
Registration History
1985199019952000200520102015202020252 FIRMS1987 - 2022 (35 years)IAGUTIERREZ WEALTH ADVISORY, LLC (CRD# 319481)2022 - Present (2 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2022 - 2025 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1987 (5 years)
Disclosure(s)
View By:
3/31/2008
Customer Dispute
Closed-No Action
3/27/2003
Customer Dispute
Denied
8/27/2001
Customer Dispute
Denied
License(s)

State Registrations

IA
Arkansas 10/23/2022
IA
Texas 11/7/2023
Current Registration(s)
IA
GUTIERREZ WEALTH ADVISORY, LLC (CRD#:319481)
10801 Executive Center Dr. Ste. 103, Little Rock, AR 72211
Registered with this firm since 10/23/2022
Previous Registration(s)
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 10/25/2022 - 02/27/2025 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) ALBANY, NY
IA
 06/10/1987 - 11/04/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) LITTLE ROCK, AR
B
 06/10/1987 - 11/04/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) LITTLE ROCK, AR
B
 10/22/1981 - 06/12/1987 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.