Ricardo Gutierrez

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-11-13
GA	RA	APPROVED	2025-03-31

Branch Locations

Cumming, GA • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
E*Trade Capital Management Llc	Alpharetta	GA	07/2009	02/2019
E*Trade Capital Management Llc	Alpharetta	GA	02/2019	02/2020
E*Trade Securities Llc	Alpharetta	GA	02/2020	07/2023
E*Trade Capital Management Llc	Alpharetta	GA	02/2020	07/2023
Morgan Stanley	Alpharetta	GA	03/2023	07/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Alpharetta	GA	10/2023	04/2024
Unemployed	Cumming	GA	07/2023	10/2023
Bank Of America, N.A.	Alpharetta	GA	12/2023	04/2024
Fidelity Investments	Dunwoody	GA	04/2024	Present
Fidelity Investments	Boston	MA	03/2025	Present

07/2009 → 02/2019

E*Trade Capital Management Llc

Alpharetta, GA
02/2019 → 02/2020

E*Trade Capital Management Llc

Alpharetta, GA
02/2020 → 07/2023

E*Trade Securities Llc

Alpharetta, GA
02/2020 → 07/2023

E*Trade Capital Management Llc

Alpharetta, GA
03/2023 → 07/2023

Morgan Stanley

Alpharetta, GA
10/2023 → 04/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Alpharetta, GA
07/2023 → 10/2023

Unemployed

Cumming, GA
12/2023 → 04/2024

Bank Of America, N.A.

Alpharetta, GA
04/2024 → Present

Fidelity Investments

Dunwoody, GA
03/2025 → Present

Fidelity Investments

Boston, MA

2024-05-10 → 2025-03-31

Fidelity Personal And Workplace Advisors

Dunwoody, GA
2023-11-09 → 2024-04-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Alpharetta, GA
2009-07-22 → 2023-08-14

Harrisdirect Llc

Arlington, VA

Alpharetta, GA

Alpharetta, GA

Alpharetta, GA
2001-10-04 → 2003-06-26

Prudential Equity Group, Llc

San Francisco, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-07-20
S65	Uniform Investment Adviser Law Examination	1999-06-22
S63	Uniform Securities Agent State Law Examination	1997-07-14

Other Firms