Jeffrey R. 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.
Jeffrey R. Ortiz, who also goes by Jeff Ortiz, Jeffrey Raymond Ortiz, Jeffrey Ortiz, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1989. Jeffrey had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2015 - August 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
August 18, 2015 - August 1, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
September 27, 2011 - August 25, 2015
RAYMOND JAMES & ASSOCIATES, INC.
September 27, 2011 - August 25, 2015
RAYMOND JAMES & ASSOCIATES, INC.
January 20, 2010 - September 28, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
January 19, 2010 - September 28, 2011
WESTERN INTERNATIONAL SECURITIES, INC.
June 1, 2009 - February 9, 2010
MORGAN STANLEY
June 1, 2009 - February 9, 2010
MORGAN STANLEY
May 11, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 11, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 27, 2001 - May 25, 2007
UBS FINANCIAL SERVICES INC.
February 16, 2001 - May 25, 2007
UBS FINANCIAL SERVICES INC.
May 7, 1993 - February 28, 2001
J.P. MORGAN SECURITIES LLC
July 15, 1992 - May 14, 1993
MORGAN STANLEY DW INC.
July 6, 1992 - July 10, 1992
CIBC WORLD MARKETS CORP.
January 8, 1991 - July 8, 1992
MORGAN STANLEY DW INC.
July 23, 1990 - January 14, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 1989 - July 3, 1990
CIBC WORLD MARKETS CORP.
July 18, 1989 - October 28, 1989
LEHMAN BROTHERS 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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
