Disclaimers

Gutierrez Wealth Advisory is an SEC registered investment adviser located in Little Rock, Arkansas. Registration does not imply a certain level of skill or training. The publication of Gutierrez Wealth Advisory’s web site on the Internet should not be construed by any consumer or prospective client as Gutierrez Wealth Advisory’s solicitation or attempt to effect transactions in securities, or the rendering of personalized investment advice. The information on this Internet site should not be construed as personalized individual advice. Investing involves market, economic, and other risks and could possibly result in a complete loss of all amounts invested. Statements contained herein should not be construed as any guarantee with respect to any services provided.

A copy of Gutierrez Wealth Advisory’s current Form ADV Part 2A disclosure brochure, discussing Gutierrez Wealth Advisory’s business operations, services, and fees, is available upon written request or by visiting www.adviserinfo.sec.gov. Gutierrez Wealth Advisory does not make any representations as to the accuracy, timeliness, suitability or completeness of any information prepared by any unaffiliated third party, whether linked to or incorporated herein. All such information is provided solely for convenience purposes and all users thereof should be guided accordingly.

We are neither your attorneys nor your accountants and no portion of this material should be interpreted by you as legal, accounting or tax advice. We recommend that you seek the advice of a qualified attorney and accountant.

Securities offered through Purshe Kaplan Sterling Investments, Member FINRA/SIPC Headquartered at 80 State Street, Albany, NY 12207. Purshe Kaplan Sterling Investments and Gutierrez Wealth Advisory are not affiliated companies. Arkansas Insurance Producer License Number #1675493 & #10138542

Roy is recognized in the following listings:
- Barron's Top 1,000 Financial Advisors, 2011, 2012, 2013
- Barron's Top 1,200 Financial Advisors, 2017, 2018, 2019, 2020
- Forbes/SHOOK Best-In-State Wealth Advisors, 2019, 2020, 2021, 2022

Barron’s listings are based on assets under management, revenue produced for the firm, regulatory record, quality of practice and philanthropic work. Portfolio performance is not a criterion. Neither the firm nor it’s employees pay a fee in exchange for these rankings. Past performance is not a guarantee of future results. Barron’s is a registered trademark of Dow Jones & Co.

The Forbes ranking of Best-In-State Wealth Advisors, developed by SHOOK Research, is based on an algorithm of qualitative and quantitative data, rating thousands of wealth advisors nominated by their firms, with a minimum of seven years of experience and weighing factors like revenue trends, assets under management, compliance records, industry experience and best practices learned through telephone and in-person interviews. Portfolio performance is not a criterion due to varying client objectives and lack of audited data. Neither Forbes nor SHOOK receive a fee in exchange for rankings. Recipients do not pay a fee to become eligible for the award. See www.forbes.com/best-in-state-wealth-advisors. For additional detail on the criteria Forbes used for the ranking, see www.forbes.com

ACCESS TO THIS WEB SITE IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY AND WITHOUT ANY WARRANTIES, EXPRESSED OR IMPLIED, REGARDING THE ACCURACY, COMPLETENESS, TIMELINESS, OR RESULTS OBTAINED FROM ANY INFORMATION POSTED ON THIS WEB SITE OR ANY THIRD PARTY WEB SITE LINKED TO THIS WEB SITE.

Gutierrez Wealth Advisory

A Comprehensive Financial Planning Firm in Little Rock AR

Our Strategic Alliance

Fidelity Institutional® provides clearing, custody, or other brokerage services to Gutierrez Wealth Advisory through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC.

Fidelity Institutional®

Fidelity Institutional® provides a comprehensive clearing and custody platform, brokerage services, trading capabilities, and practice management and consulting to registered investment advisers (RIAs), including strategic acquirers and professional asset managers, as well as retirement recordkeepers, broker-dealer firms, banks, and insurance companies through National Financial Services LLC (NFS) or Fidelity Brokerage Services LLC, Members NYSE, SIPC. In addition to providing services to third-party institutions, the NFS brokerage platform supports all the clearing and custody businesses at Fidelity, including Fidelity’s retail and capital markets businesses, bringing NFS assets under administration to $3.8 trillion as of August 31, 2022.

Asset Protection

Securities in accounts carried by National Financial Services LLC (NFS), a Fidelity Investments company, are protected in accordance with the Securities Investor Protection Corporation (SIPC) up to $500,000. The $500,000 total amount of SIPC protection includes up to $250,000 of protection on claims for cash, subject to periodic adjustments for inflation in accordance with the terms of the SIPC statute and approval by SIPC’s board of directors. NFS also has arranged for coverage above these limits. Neither coverage protects against a decline in the market value of securities, nor does either coverage extend to certain securities that are considered ineligible for coverage. For more details about SIPC or to request a SIPC brochure, visit www.sipc.org or call 202.371.8300.

“Excess of SIPC” Coverage

In addition to SIPC protection, NFS provides for brokerage accounts additional “excess of SIPC” coverage.

The excess of SIPC coverage will be used only when SIPC coverage is exhausted. Like SIPC protection, excess of SIPC protection does not cover investment losses in customer accounts due to market fluctuation. It also does not cover other claims for losses incurred while broker-dealers remain in business. Total aggregate excess of SIPC coverage available through NFS’s excess of SIPC policy is $1 billion. Within NFS’s excess of SIPC coverage, there is no per-customer dollar limit on coverage of securities, but there is a per-customer limit of $1.9 million on coverage of cash awaiting investment. This is the maximum excess of SIPC protection currently available in the brokerage industry.

Fidelity Investments is an independent company, unaffiliated with Gutierrez Wealth Advisory. Fidelity Investments is a service provider to Gutierrez Wealth Advisory. There is no form of legal partnership, agency affiliation, or similar relationship between your financial advisor and Fidelity Investments, nor is such a relationship created or implied by the information herein. Fidelity Investments has not been involved with the preparation of the content supplied by Gutierrez Wealth Advisory and does not guarantee, or assume any responsibility for, its content. Fidelity Investments is a registered trademark of FMR LLC. Fidelity Institutional® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC. 1049673.1.0