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Raul Gutierrez

Park Avenue Securities LLC
35 Years of Experience
Saint Petersburg, FL
2 DisclosuresBroker
View SEC Summary
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Raul Gutierrez is a registered investment advisor at Park Avenue Securities LLC, based in Saint Petersburg, FL, with 35 years of industry experience. Raul is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 7 more. Their firm serves 82,118 clients with $20B in assets under management.

Park Avenue Securities LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1914 advisors
Number of Clients
82,118 clients
Average Client Portfolio
$238K average
Assets Under Management
$19.6B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.05%
$500K - $1000K2.00%
$1.0M - $2.0M1.95%
$2M+1.90%

Schedule reflects the maximum client fee for the Park Avenue Portfolio Select program. Other wrap fee and third-party programs have varying fee schedules with advisor fees ranging from 0.50% to 1.75% plus platform and manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Saint Petersburg, FL

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History

Regulatory History (2)
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Judgment / Lien
January 2013
Judgment / Lien
August 2012
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Raul is involved in packaging and shipping products on weekends, visiting boutiques, and contacting boutiques via email. This activity, which started in 2014, takes a few hours per week and is not investment-related.

Employment History
Current Registrations
Park Avenue Securities LLCBroker
July 2012 - Present · 14 yrs 3 mos
Park Avenue Securities LLC
July 2012 - Present · 14 yrs 3 mos
Park Avenue Securities LLC
July 2012 - Present · 14 yrs 3 mos
Previous Registrations
AXA Advisors, LLC
May 2006 - June 2011 · 5 yrs 1 mo
AXA Advisors, LLCBroker
May 2006 - June 2011 · 5 yrs 1 mo
Chase Investment Services CORP.
May 2003 - April 2006 · 2 yrs 11 mos
Chase Investment Services CORP.Broker
April 1999 - April 2006 · 7 yrs
National Discount BrokersBroker
March 1995 - July 1998 · 3 yrs 4 mos
Independent Financial Securities, INC.Broker
September 1993 - March 1995 · 1 yr 6 mos
Marketing One Securities, INC.Broker
April 1993 - October 1993 · 6 mos
Descap Securities, INC.Broker
December 1990 - April 1993 · 2 yrs 4 mos
Empire National Securities, IncorporatedBroker
July 1990 - December 1990 · 5 mos
Vanderbilt Securities, INC.Broker
February 1990 - May 1990 · 3 mos
J. T. Moran & CO., INC.Broker
September 1989 - February 1990 · 5 mos
State Registrations13 states
CTDCFLLAMANDNJNVNYORSDTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Raul Gutierrez - Financial Advisor | TrueAdvisor