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LUIS MANUEL GUTIERREZ JR
LUIS M (JR) GUTIERREZ, Luis Manuel Gutierrez
CRD#: 2771436
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2800 POST OAK BLVD
HOUSTON, TX 77056
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2008 (10 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2019 (10 years)2 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - Present (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - 2021 (<1 year)
Disclosure(s)
View By:
7/20/2023
Judgment / Lien
8/22/2014
Customer Dispute
Settled
License(s)

State Registrations

B
California 6/3/2021

B
New York 3/28/2024

B
Colorado 8/5/2021

B
Texas 6/3/2021

B
Delaware 11/18/2021

IA
Texas 6/4/2021

B
Florida 6/3/2021

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 6/4/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2800 POST OAK BLVD, HOUSTON, TX 77056
Registered with this firm since 6/3/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/06/2019 - 06/10/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HOUSTON, TX
B
06/06/2019 - 06/10/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HOUSTON, TX
IA
06/03/2021 - 06/03/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
06/01/2009 - 06/07/2019 MORGAN STANLEY (CRD#:149777) Houston, TX
B
06/01/2009 - 06/07/2019 MORGAN STANLEY (CRD#:149777) Houston, TX
IA
01/04/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
01/04/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
IA
05/23/1997 - 01/09/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
05/13/1997 - 01/09/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
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B
Broker
IA
Investment Adviser
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.