Julian Ortega
Professional summary
Julian Ortega, who also goes by Julian Ortega III, Julian Ortega, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Antonio, Texas and CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Julian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Julian has worked at 18 firms and has passed the Series 66, Series 63, Series 72, SIE, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Julian Ortega's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
May 30, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245May 30, 2024 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245July 24, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245December 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
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2024)
(5/30/2024)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
