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Gloria Yanet Roque-Gutierrez

Wells Fargo Clearing Services, LLC

Metairie, LA

CRD 6583701

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2024-10-30
TX RA APPROVED 2024-10-11
  • LA RA
    APPROVED
    Since 2024-10-30
  • TX RA
    APPROVED
    Since 2024-10-11

Branch Locations

111 Veterans Memorial Blvd Ste 1800, Metairie, LA 70005 • 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
Iberiabank Metairie LA 07/2014 01/2021
Infinex Investments, Inc. Meriden CT 07/2016 01/2021
First Horizon Advisors Metairie LA 01/2021 10/2024
Wells Fargo Clearing Services, Llc Metairie LA 10/2024 Present
  • 07/2014 → 01/2021
    Iberiabank
    Metairie, LA
  • 07/2016 → 01/2021
    Infinex Investments, Inc.
    Meriden, CT
  • 01/2021 → 10/2024
    First Horizon Advisors
    Metairie, LA
  • 10/2024 → Present
    Wells Fargo Clearing Services, Llc
    Metairie, LA
Previous Registrations
  • 2021-01-23 → 2024-10-15
    First Horizon Advisors, Inc.
    Metairie, LA
  • 2018-09-24 → 2021-01-22
    Osaic Institutions, Inc.
    Metairie, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-24
  • S66 Uniform Combined State Law Examination
    2018-09-24
Other Names
  • Janet Roque
  • Gloria Yanet Gutierrez

View on SEC IAPD

Nearby Firms

AMERIPRISE FINANCIAL SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

Nearby Investors

RUFUS PRADOS CRESSEND
Ellen Alisse Geissal Morvant
James Anthony Ray

Nearby Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Metairie, LA
AMERITAS ADVISORY SERVICES, LLC · Metairie, LA
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · Metairie, LA

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