Since 2018, Emilio Gutierrez has been working in Merrill Edge. This expert is an experienced Supervision Manager with over 29 years of work experience. According to Emilio's resume and work profile, this person has worked at more than 17 places with diverse backgrounds and gained different skills. Emilio attended school at the THE UNIVERSITY OF HOUSTON from 1997. This person has professional certification as Series 4 Registered Options Principal and Series 7 General Securities Representative and Emilio has studied Spanish. Emilio can be found in Houston, Texas – where the professional is currently located. You can search for this person's contacts. We can also provide you with exhaustive contact information upon request.
Name variants:
Emilio Gutierrez
Last updated May 12, 2024
Contact Information
Workplace
Colleagues
Work History
Supervision Manager
Supervision of Financial Solutions Advisors for Merrill Edge located in Bank of America Financial Centers in Houston and College Station Market.
May 2018 — Apr 2019
Associate Director Network Office Supervision
720 east Wisconsin Ave, Milwaukee, WI 53202
Northwestern Mutual is a financial services company that offers a variety of insurance and investment solutions. Since our founding in 1857, through every recession and every economic boom, ...
Aug 2013 — May 2018
Chief Compliance Officer
Responsible for fostering a culture of compliance through the development, implementation and adherence of written supervisory procedures designed to ensure broker-dealer and investment advi...
Jan 2012 — Jun 2012
Home Office Principal
2500 Wilcrest Dr, Houston, TX 77042
Review and approve new account forms, new direct business applications, and trading activity suitability for OSJ Supervisors/Division Managers and representatives. Effectively resolve issues...
Sep 2009 — Dec 2011
Associate Vp- Compliance
Perform branch and OSJ audits of retail, investment advisory as well as affiliate branches
Compose audit reports identifying risks along with deficiencies while providing remedial action w...
Apr 2006 — Apr 2009
Regional Supervisory Officer
270 Park Ave, New York, NY 10010
Provide supervisory/compliance oversight of all international financial services advisors. Review all inbound & outbound quarantined e-mails and 3% sample of all clean e-mails using Assentor...
Jul 2005 — Apr 2006
Trade Analyst Principal
Reviewed and approved transactions/trades coming through the B/D for suitability prior to them being released for execution. Contacted product sponsors periodically to better understand the ...
Jul 2004 — Jul 2005
Relationship Specialist
Coordinated and implemented new branch operational/compliance procedures for several branches, which significantly reduced paperwork and increased productivity of branch. Support of the bran...
Sep 2001 — Oct 2003
Invest Representative
5555 west Grande Market Dr, Appleton, WI 54913
Established and managed new start-up investment program of Banco Popular the largest Hispanic bank in the U.S.A Collaborated with bank compliance officer, vice president of retail banking an...
Apr 2000 — Sep 2001
Education
Bachelor of Business Administration in Finance and Management
Houston, TX
from May 1997
1991 — 1997
1987 — 1991
Occupations
Executive
Manager
Accountant
Finance and Accounting Specialist
Deputy Director
Operations Manager
Accounting Bookkeeper
Bookkeeper
Deputy Manager
Chief Executive
Skills
Securities
Mutual Funds
Finra
Investments
Financial Services
Series 7
Finance
Aml
Licensing
Series 24
Series 63
Alternative Investments
Variable Annuities
Investment Advisory
Insurance
Banking
Wealth Management
Fixed Income
Asset Management
Equities
Due Diligence
Portfolio Management
Osj Supervision
Securities Suitability Review
General Securities Principal
Asset Allocation
Financial Risk
Financial Advisory
Retirement
Trading
Strategic Financial Planning
Retirement Planning
Fixed Annuities
International Compliance
Advertising and Sales Literature Review
Wealth Management Services
Estate Planning
Financial Planners
Investment Banking
Usa Patriot Act
Ofac
Off Shore Securities Products
1035 Exchanges
Finra Gateway Crd
Finra Licensing and Registration
Product Disclosure Forms
Wsps
Equity Research Reports Review and Approval
Equity Analyst Supervison
Bi-Lingual Spanish
FAQs about Emilio Gutierrez
What is the main profession of Emilio Gutierrez?
Emilio Gutierrez is a Supervision Manager.
What are the main profession of This professional?
These person's professions are Executive and Manager
Where does Emilio Gutierrez live?
Emilio Gutierrez currently lives in Houston, Texas.
What is Emilio Gutierrez's email?
The expert's email is em**@northwesternmutual.com.
Where did Emilio Gutierrez work?
The professional worked at Merrill Edge, Northwestern Mutual.
Where has Emilio Gutierrez studied?
Emilio studied at the UNIVERSITY OF HOUSTON from 1997.
Are there any certifications, that Emilio Gutierrez has?
The expert received the following certifications: Series 4 Registered Options Principal, Series 7 General Securities Representative, and Series 24 General Securities Principal.
What languages does Emilio Gutierrez speak?
Emilio Gutierrez speaks Spanish.