Gustavo Aristizabal has been Member of Board of Managers, President and Corporate Secretary of Wainwright Investment Counsel since November 2015, is a control person of the firm and directly owns between 5% and 10% of it. Gustavo Aristizabal holds a B.S. in business from Universidad EAFIT (Colombia).
Wainwright Investment Counsel LLC is a Boston, MA firm with $5.52B under management, 214 clients and 10 advisers in one office, as of its September 2026 filing.
Gustavo (Gus) Aristizabal is Member of Wainwright Board, President and Corporate Secretary, and Investment Advisor of Wainwright Investment Counsel. Aristizabal joined Wainwright in 1999 and is Chief Executive Officer of WFS, LLC, Wainwright's broker-dealer subsidiary. Before joining H.C. Wainwright in 1996, Aristizabal was chief financial officer at IMPSA in Conconcreto, Costa Rica, and an economics instructor at Northeastern University.
Gustavo Aristizabal’s longest registration is the current one, 27 years at Wainwright Investment Counsel since 1999.
- Artis Advisors– · under a yearBoston, MA · Adviser representative · Firm CRD 159997
- – present · 27 yearsBoston, MA · Adviser representative · Firm CRD 108711
Investment adviser representative registrations
Gustavo Aristizabal is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from August 1999; the most recent is Texas, in July 2023.
- CaliforniaSince 22 March 2022
- KentuckySince 23 March 2022
- MassachusettsSince 14 August 1999
- TexasResidentSince 21 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 8 April 2002 |
| Series 24 | General Securities Principal Examination | 19 December 2001 |
| Series 7 | General Securities Representative Examination | 29 August 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 14 April 1997 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Gustavo Adolfo Aristizabal
- CRD
- 2735053
- Firm
- Wainwright Investment Counsel · CRD 108711
- Role
- Member of Board of Managers, President and Corporate Secretary
- Office
- ONE BOSTON PLACE, 29TH FLOOR, Boston, MA 02108
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- winvcounsel.com
Where does Gustavo Aristizabal work?
Gustavo Aristizabal has been Member of Board of Managers, President and Corporate Secretary of Wainwright Investment Counsel LLC since November 2015, and is a control person of the firm.
Is Gustavo Aristizabal a financial advisor?
Yes. Gustavo Aristizabal has a current investment-adviser registration in California, Kentucky, Massachusetts and Texas, through Wainwright Investment Counsel since August 1999.
How many years of experience does Gustavo Aristizabal have?
Gustavo Aristizabal has 27 years in the financial industry, since August 1999, across 2 adviser firms.
What exams has Gustavo Aristizabal passed?
Gustavo Aristizabal has passed 5 licensing exams: the Series 65, Series 7, Series 24, Series 63 and Series 99TO. The earliest, the Series 65, was passed in April 1997. FINRA credited Gustavo Aristizabal with the SIE, which began in October 2018.
Where is Gustavo Aristizabal based?
Gustavo Aristizabal’s registered office is in Boston, MA.
Is Gustavo Aristizabal registered with FINRA?
Yes. Gustavo Aristizabal has a current broker registration, under CRD 2735053.
Source: FINRA BrokerCheck
How can I verify Gustavo Aristizabal’s record?
Search CRD 2735053 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Gustavo Aristizabal’s full registration record.
Eric BertonazziChairman of Board of Managers, Chief Executive Officer, Chief Investment Officer
Paul MartinsMember of Board of Managers, Chief Financial & Administrative Officer
Matthew SeneyChief Operating Officer, Deputy Chief Investment Officer- Christopher MortaraChief Compliance Officer
- Stephen BarrettMember of Board of Managers