Luis A. 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.
Luis Alberto Ortiz was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1986. Luis had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2009 - November 26, 2021
PRIVATE PORTFOLIO, INC.
April 22, 2009 - November 26, 2021
PRIVATE PORTFOLIO, INC.
November 26, 2007 - April 8, 2009
CUNA BROKERAGE SERVICES, INC.
March 7, 2007 - April 8, 2009
CUNA BROKERAGE SERVICES, INC.
July 1, 2003 - February 28, 2007
PRIVATE PORTFOLIO, INC.
May 22, 2002 - July 1, 2003
INVESTACORP ADVISORY SERVICES INC
May 15, 2002 - July 1, 2003
INVESTACORP, INC.
January 4, 1999 - May 15, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 11, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 28, 1994 - December 22, 1995
BA INVESTMENT SERVICES, INC.
November 19, 1993 - May 11, 1994
WELLS FARGO SECURITIES INC.
February 13, 1991 - November 19, 1993
MARKETING ONE SECURITIES, INC.
September 6, 1990 - March 11, 1991
NYLIFE SECURITIES LLC
July 6, 1988 - December 13, 1988
GAF FINANCIAL AND INSURANCE SERVICES
October 13, 1987 - December 9, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
November 25, 1986 - May 26, 1987
UBS FINANCIAL SERVICES INC.
November 14, 1986 - December 5, 1986
FIRST AMERICAN BILTMORE 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
PRIVATE PORTFOLIO, INC.
CRD#: 36644 / SEC#: 801-69346, 8-47421
Contact information
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93 |
| AUM (Assets Under Management) | $ 91,500,000 |
Disclosures
| Regulatory Event | 1 |
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.
