Nelson O. Ortiz Cortes
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.
Nelson Oscar Ortiz Cortes, who also goes by Nelson Oscar Ortiz, was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1983. Nelson had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 53 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
July 14, 2016 - September 23, 2016
ORIENTAL FINANCIAL SERVICES LLC
March 12, 2015 - January 13, 2016
INVESTACORP, INC.
November 29, 2011 - November 26, 2013
SCOTIA CAPITAL (USA) INC.
July 2, 2007 - August 30, 2010
SCOTIA CAPITAL (USA) INC.
September 22, 2003 - May 14, 2007
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
November 22, 2000 - July 18, 2003
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
April 3, 2000 - September 12, 2000
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
December 20, 1995 - January 12, 2000
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
February 14, 1994 - January 27, 1995
CITIGROUP GLOBAL MARKETS INC.
February 7, 1994 - February 8, 1994
MORGAN STANLEY DW INC.
September 21, 1993 - January 19, 1994
DEAN WITTER PUERTO RICO INC.
August 19, 1992 - October 28, 1993
MORGAN STANLEY DW INC.
June 1, 1992 - August 20, 1992
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
April 30, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
July 23, 1990 - June 17, 1991
FIRST CONTINENTAL CORPORATION
November 1, 1984 - November 28, 1989
PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.
October 10, 1984 - November 27, 1989
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1983 - April 18, 1984
UNITED CAPITAL CORPORATION
February 3, 1983 - May 18, 1983
BECKER PARIBAS INCORPORATED
Primary Firm SEC Registration
ORIENTAL FINANCIAL SERVICES LLC
CRD#: 29753 / SEC#: 801-88203, 8-44516
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
ORIENTAL FINANCIAL SERVICES LLC
CRD#: 29753 / SEC#: 801-88203, 8-44516
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (11 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OFG BANCORP | PARENT COMPANY , MEMBER | |
| FERNANDEZ MARTINEZ, JOSE RAFAEL | OPTIONS PRINCIPAL, AND DIRECTOR | 1556546 |
| KUMAR, GANESH | DIRECTOR | 6120016 |
| MUNOZ GALARZA, GLENDA L. | FINANCIAL AND OPERATIONS MANAGER | 5037917 |
| PASCUAL NAVARRO, ALEJANDRO MIGUEL | PRESIDENT & SALES MANAGER | 4637744 |
| SOUFFRONT, CARLOS O. ESQ. | DIRECTOR | 6272950 |
| TORRES, MARIELA | CHIEF COMPLIANCE OFFICER | 2735709 |
Regulatory assets under management
| Total Number of Accounts | 486 |
| AUM (Assets Under Management) | $ 360,606,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
