Julian Ortega
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.
Julian Ortega, who also goes by Julian Ortega III, Julian Ortega, was a registered financial professional .
Julian is a previously registered financial professional and started their career in finance in 1993. Julian had worked at 19 firms and has passed the Series 66, Series 63, Series 72, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2026 - August 21, 2026
CETERA FINANCIAL SPECIALISTS LLC
July 24, 2024 - August 21, 2026
CETERA INVESTMENT SERVICES LLC
May 30, 2024 - August 21, 2026
CETERA INVESTMENT ADVISERS LLC
May 30, 2024 - August 21, 2026
CETERA WEALTH SERVICES, LLC
May 30, 2024 - August 21, 2026
CETERA ADVISORS LLC
December 16, 2022 - May 20, 2024
WELLS FARGO CLEARING SERVICES, LLC
December 16, 2022 - May 20, 2024
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2022 - December 8, 2022
FROST INVESTMENT SERVICES
July 19, 2022 - December 8, 2022
FROST BROKERAGE SERVICES, INC.
September 10, 2020 - July 21, 2022
LPL FINANCIAL LLC
September 10, 2020 - July 21, 2022
LPL FINANCIAL LLC
October 21, 2010 - August 28, 2020
USAA INVESTMENT SERVICES COMPANY
October 21, 2010 - July 10, 2020
USAA FINANCIAL ADVISORS, INC.
October 21, 2010 - August 28, 2020
USAA INVESTMENT SERVICES COMPANY
January 3, 2008 - September 21, 2010
KESTRA INVESTMENT SERVICES, LLC
January 27, 2003 - September 21, 2010
KESTRA INVESTMENT SERVICES, LLC
November 16, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 16, 2000 - November 14, 2002
VALIC FINANCIAL ADVISORS, INC.
September 4, 1997 - October 23, 2000
BANK UNITED SECURITIES CORP.
November 1, 1996 - September 2, 1997
BANC ONE SECURITIES CORPORATION
June 20, 1996 - November 5, 1996
J.P. MORGAN SECURITIES OF TEXAS, INC.
September 12, 1995 - June 11, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 15, 1993 - November 15, 1995
ESSEX NATIONAL SECURITIES, LLC
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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
