Lucille M. Ortiz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lucille Marie Ortiz, who also goes by Lucille Marie Morales, Lucy Ortiz, was a registered financial professional .
Lucille is a previously registered financial professional and started their career in finance in 1995. Lucille had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 99, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2014 - October 3, 2023
J.W. COLE FINANCIAL, INC.
May 6, 2013 - April 30, 2014
INVEST FINANCIAL CORPORATION
April 18, 2000 - November 27, 2001
FIRST MONTAUK SECURITIES CORP.
December 12, 1995 - December 31, 1998
ROBERT THOMAS SECURITIES, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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