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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 | 2023-11-07 |
| AR | RA | APPROVED | 2022-10-23 |
Branch Locations
10801 Executive Center Dr. Ste. 103, Little Rock, AR 72211 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Little Rock | AR | 06/1987 | 10/2022 |
| Gutierrez Wealth Advisory, Llc | Little Rock | AR | 10/2022 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 10/2022 | 02/2025 |
1) 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 1981-09-05 |
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