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10801 Executive Center Dr. Ste. 103, Little Rock, AR 72211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-12-06 |
| AR | RA | APPROVED | 2022-10-23 |
Branch Locations
10801 Executive Center Dr. Ste. 103, Little Rock, AR 72211 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Little Rock | AR | 07/2007 | 10/2022 |
| Gutierrez Wealth Advisory, Llc | Little Rock | AR | 10/2022 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2022 | Present |
1) Gutierrez Wealth Advisory. Investment related. At registered location. RIA. Co-Founder/Wealth Advisor/CCO. 10/2022. Hrs/month 160 all during trading hours. Support and maintain compliance program, provide wealth management services for retail and retirement clients. 2) Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. 10/2022. Hrs/month 4 all during trading hours. Sales of fixed/traditional insurance products. 3) PKSF. Investment related. At registered location. Fixed/Traditional Insurance. Agent. 10/2022. Hrs/month 4 all during trading hours. Sales of fixed/traditional insurance products.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-20 |
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