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Mario Alberto Gutierrez

LPl Financial LLC

Mcallen, TX

CRD 5533474

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-11-17
  • TX RA
    APPROVED
    Since 2017-11-17

Branch Locations

200 S 10Th St, Suite 1300, Mcallen, TX 78501 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ims Securities, Inc. Houston TX 02/2013 11/2017
Lpl Financial, Llc Mcallen TX 11/2017 Present
  • 02/2013 → 11/2017
    Ims Securities, Inc.
    Houston, TX
  • 11/2017 → Present
    Lpl Financial, Llc
    Mcallen, TX
Previous Registrations
Other Businesses

1. 11/17/2017 - MG WEALTH STRATEGIES, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ MCALLEN, TX

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-10
S63 Uniform Securities Agent State Law Examination 2011-03-30
  • S65 Uniform Investment Adviser Law Examination
    2016-05-10
  • S63 Uniform Securities Agent State Law Examination
    2011-03-30
Other Names
  • Mario Gutierrez

View on SEC IAPD

Nearby Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
J.P. MORGAN SECURITIES LLC
SANCTUARY ADVISORS, LLC

Nearby Investors

PABLO FRANCISCO SADA
Mark Anthony Garza
ALVARO GALVAN GONZALEZ

Nearby Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MCALLEN, TX
J.P. MORGAN SECURITIES LLC · MCALLEN, TX
SANCTUARY ADVISORS, LLC · McAllen, TX

More in Mcallen, TX

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