Rafael Gutierrez

Employer firm

Kovack Advisors, Inc. CRD 140808

$6.28B regulatory AUM 205 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2014 → Present
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 02/2014 → Present
  Kovack Advisors, Inc.
  Fort Lauderdale, FL

Previous Registrations

• 2011-09-09 → 2014-02-28
  Fortitude Advisory Group L.L.C.
  Gig Harbor, WA
• 2005-08-15 → 2011-09-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Laredo, TX
  Laredo, TX
• 2004-06-18 → 2005-08-02
  Lpl Financial Llc
  San Antonio, TX

Other Businesses

1) DBA FARO FX, LLC - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041 - NON-INVESTMENT RELATED; ENGAGE IN CORPORATE AND HIGH NET WORTH CURRENCY EXCHANGE; PARTNER; 10% OF TIME SPENT. 2) GAVIX INVESTMENT MANAGEMENT,LLC - DBA -FARO WEALTH - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041; INVESTMENTS; INVESTMENT RELATED; MEMBER/FINANCIAL ADVISOR; MANAGE CLIENT ACCOUNTS; 100% OF TIME SPENT 3) REGISTERED INSURANCE AGENT - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041; SELLING VARIABLE AND FIXED ANNUITIES; AGENT; INVESTMENT RELATED; MARKET AND MANAGE INSURANCE PRODUCT; <1% OF TIME SPENT 4) BEACON INSURANCE GROUP, LLC - 7613 ROCIO DRIVE, SUITE 1, LAREDO, TX 78041; OWNER; MANAGEMENT OF PROPERTY, CASUALTY, COMMERCIAL INSURANCE; NON-INVESTMENT RELATED BUSINESS; 10% OF TIME SPENT 5) LAREDO COUNTRY CLUB - 1415 COUNTRY CLUB DRIVE, LAREDO, TX 78045; NON-INVESTMENT RELATED; ESTABLISHING POLICIES AND OBJECTIVES FOR THE COUNTRY CLUB; BOARD MEMBER; 1% OF TIME SPENT. 6) COMMERCIAL REAL ESTATE PURCHASE - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; REAL ESTATE; OWNER; 0% OF TIME SPENT. 7) FARO FACTORING, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; FACTORING BUSINESS; MINORITY PARTNER; 2-5% OF TIME SPENT. 8) SL PARTNERS LLC - 406 NAFTA BLVD, LARERO TX 78045; NON-INVESTMENT RELATED; HOLDING COMPANY; PARTNER; 1% OF TIME SPENT. 9) SPOT LOGISTICS INC - 406 NAFTA BLVD, LARERO TX 78045; NON-INVESTMENT RELATED; LOGISTICS; DIRECTOR; 1% OF TIME SPENT. 10) BEACON INSURANCE ACQUISITIONS, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; INVESTMENT RELATED; INSURANCE SALES; OWNER; 1% OF TIME SPENT. 11) SPOT CHB, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE JUNE 24, 2024; TRANSPORTATION & LOGISTICS COMPANY; PARTNER; LESS THAN 1 HOUR/MONTH OF TIME SPENT. 12) WD EQUIPMENT LEASING, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE 12/30/24; TRANSPORTATION; OWNER; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 13) WHEELS DOWN TRUCKING, INC. - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE 12/30/24; TRANSPORTATION; OWNER; 5 HOURS/MONTH DEVOTED TO OTHER BUSINESS; 10 HOURS/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 14) WD PARTNERS 2025, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE 12/30/24; THIS ENTITY WILL OWN WHEELS DOWN TRANSPORTATION 100%; OWNER; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS. 15) FARO HOME LOANS, LLC - 7613 ROCIO DR, SUITE 1, LAREDO, TX 78045; NON-INVESTMENT RELATED; START DATE MAY 1, 2025; MORTGAGE; OWNER; 5 HOURS/MONTH DEVOTED TO OTHER BUSINESS; LESS THAN 1 HOUR/MONTH DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS.

Exams

• S66 Uniform Combined State Law Examination
  2004-06-17

Other Names

• Rafael Gutierrez Jr
• Rafael Gutierrez Nieto