Individual Firm
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CHRISTINA GUTIERREZ MONDRAGON
CHRISTINA GUTIERREZ
CRD#: 4614044
IA
B
MORGAN STANLEYCRD#: 149777 2800 Post Oak Boulevard
18th Floor
Houston, TX 77056
18th Floor
Houston, TX 77056
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
Alabama 6/14/2022
B
Massachusetts 8/17/2022
B
Arizona 2/24/2025
B
New Jersey 8/17/2022
B
Arkansas 6/14/2022
B
New York 8/17/2022
B
California 6/14/2022
B
North Carolina 8/17/2022
B
Colorado 6/14/2022
B
Ohio 1/10/2025
B
Delaware 8/17/2022
B
Oklahoma 8/17/2022
B
Georgia 1/8/2025
B
Pennsylvania 8/17/2022
B
Illinois 8/17/2022
B
Texas 5/18/2022
B
Indiana 8/17/2022
IA
Texas 5/18/2022
B
Louisiana 8/17/2022
B
Virginia 8/17/2022
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/18/2022
B
Registered with this firm since 5/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/28/2015 - 05/06/2022 | HOUSTON, TX | |
B | 01/28/2015 - 05/06/2022 | HOUSTON, TX | |
IA | 03/14/2014 - 12/17/2014 | HOUSTON, TX | |
B | 03/14/2014 - 12/17/2014 | HOUSTON, TX | |
IA | 03/28/2013 - 03/13/2014 | HOUSTON, TX | |
B | 03/28/2013 - 03/13/2014 | HOUSTON, TX | |
IA | 12/12/2012 - 03/14/2013 | HOUSTON, TX | |
B | 12/17/2012 - 03/14/2013 | HOUSTON, TX | |
IA | 02/24/2004 - 01/03/2011 | DEER PARK, TX | |
B | 12/15/2003 - 01/03/2011 | DEER PARK, TX | |
B | 03/05/2003 - 11/11/2003 | PURCHASE, NY |
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B
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.