Jose R. Ortiz

KOVACK SECURITIES

San Juan, PR 00917

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CRD#: 1991361

Professional summary

Jose Rafael Ortiz, who also goes by Jose Rafael Ortiz-caceres, Joe Ortizcaceres, Jose Rafael Ortizcaceres, is a registered financial professional currently at KOVACK SECURITIES INC. located in San Juan, .

Jose is registered as a RR (Registered Representative) and started their career in finance in 1990. Jose has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jose Rafael Ortiz-Caceres | Joe Ortizcaceres | Jose Rafael Ortizcaceres

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jose Rafael Ortiz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 16, 2017 - Present

KOVACK SECURITIES INC.

Office #1: 161 Ponce De Leon Suite 301, San Juan, PR 00917

CRD#: 44848

San Juan, PR

Past

December 21, 2015 - May 18, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

CAROLINA, PR

Past

August 9, 2013 - November 9, 2015

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

Past

May 1, 2007 - August 8, 2013

OFS SECURITIES, INC.

CRD#: 39615

HATO REY, PR

Past

October 29, 2004 - March 30, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN JUAN, PR

Past

January 25, 1990 - March 30, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN JUAN, PR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Puerto Rico
(5/16/2017)

South Dakota
(5/16/2017)

Exams

State Security Law Exam

Series 63

Date: 1/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/29/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/20/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/13/2004

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

KOVACK SECURITIES INC.

KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Mailing Address

6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308

Phone number

(954) 782-4771

Established

Florida since 04/22/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KOVACK FINANCIAL, LLC.	OWNER
KOVACK, BRIAN JOHN	CEO	2809477
SHICK, ISABELLE ALLISON	FINOP	5364794
WOLFE, MELINDA SUE	CHIEF COMPLIANCE OFFICER/EVP	1627593

Disclosures

Regulatory Event	5
Arbitration	5

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.

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Jose R. Ortiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jose Rafael Ortiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

ORIENTAL FINANCIAL SERVICES LLC

OFS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/19/2001

SIE

Date: 10/1/2018

Series 3

Date: 11/29/1996

Series 7

Date: 1/20/1990

Series 10

Date: 12/20/2004

Series 9

Date: 12/13/2004

FINRA

Nasdaq Stock Market

Current Firm

KOVACK SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KOVACK SECURITIES INC.

TRUST BUT VERIFY

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