Seth Gutierrez

Current Employers

Sg Financial Group, Llc

Henderson, NV • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2023-04-11

NV RA
APPROVED

Since 2023-04-11

Branch Locations

Henderson, NV • 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

Organization	City	State	From	To
Clark County - Financial Crimes Division	Las Vegas	NV	05/2013	Present
Sg Financial Group, Llc	Henderson	NV	12/2022	Present
Sg & Associates, Llc	Henderson	NV	03/2022	Present

05/2013 → Present

Clark County - Financial Crimes Division

Las Vegas, NV
12/2022 → Present

Sg Financial Group, Llc

Henderson, NV
03/2022 → Present

Sg & Associates, Llc

Henderson, NV

Other Businesses

I am currently engaged in the practice of law as an Estate Planning Attorney. My business is fixed fee based so I receive no commissions. I also am licensed as an insurance producer (commissions vary depending on the product). SG & Associates, LLC; Attorney and Managing Member; Not investment related; 170 S Green Valley Pkwy, Suite 300, Henderson Nevada 89012; Description: Law Firm - Estate Planning (Wills, Trusts, Probate); Responsibilities: Draft Estate Planning documents; Start date: March 2023; 30-40 hours per month all during trading hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-07-20

S65 Uniform Investment Adviser Law Examination

2022-07-20