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Richard Gutierrez

J.P. Morgan Securities LLC
25 Years of Experience
The Woodlands, TX
1 DisclosureBroker
View SEC Summary
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Richard Gutierrez is a registered investment advisor at J.P. Morgan Securities LLC, based in The Woodlands, TX, with 25 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

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

Location

9590 Six Pines Dr, The Woodlands, TX, 77380

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History

Regulatory History (1)
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Criminal
May 2022
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLC
December 2022 - Present · 3 yrs 10 mos
J.P. Morgan Securities LLCBroker
December 2022 - Present · 3 yrs 10 mos
J.P. Morgan Securities LLC
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2015 - October 2022 · 7 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2015 - October 2022 · 7 yrs 9 mos
VALIC Financial Advisors, INC.
October 2002 - May 2013 · 10 yrs 7 mos
VALIC Financial Advisors, INC.Broker
November 2000 - May 2013 · 12 yrs 6 mos
The Variable Annuity Marketing CompanyBroker
November 2000 - December 2001 · 1 yr 1 mo
Van Kampen Funds INC.Broker
November 1999 - November 2000 · 1 yr
State Registrations2 states
NCTX
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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