NO
Noemi L. Ortega
UNION CAPITAL COMPANY
Bakersfield, CA
Some features on this profile are disabled
CRD#: 2486499
NO
Professional summary
Noemi Lopez Ortega is a registered financial advisor currently at UNION CAPITAL COMPANY located in Bakersfield, California.
Noemi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Noemi has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Noemi Lopez Ortega's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Noemi Lopez Ortega's 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®
NoneExperience
Current
December 4, 2007 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
Bakersfield, CA
Current
December 3, 2007 - Present
UNION CAPITAL COMPANY
Office #1: 6083 East Grant Road, Tucson, AZ 85712Office #2: 6083 E. Grant Road, Tucson, AZ 85712Office #3: 6083 E. Grant Rd., Tucson, AZ 85712RIA
BD
CRD#: 110301
Tucson, AZ
Past
August 16, 2006 - December 6, 2007
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEWPORT BEACH, CA
Past
August 16, 2006 - December 6, 2007
LPL FINANCIAL LLC
BD
CRD#: 6413
NEWPORT BEACH, CA
Past
June 12, 2006 - August 11, 2006
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
SUN VALLEY, CA
Past
June 12, 2006 - August 11, 2006
WAMU INVESTMENTS, INC.
BD
CRD#: 599
SUN VALLEY, CA
Past
May 25, 2004 - June 22, 2006
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
GLENDALE, CA
Past
July 1, 2002 - June 22, 2006
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
October 22, 1998 - November 27, 2000
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
May 14, 1998 - November 27, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
May 13, 1996 - June 18, 1997
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
September 15, 1994 - February 14, 1995
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 15, 1994 - February 14, 1995
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
July 13, 1994 - August 12, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(12/3/2007)
IAR
California(12/4/2007)
RR
Texas(6/27/2013)
IAR
Texas(7/9/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
6083 E. Grant Road, Tucson, AZ 85712
Mailing Address
6083 E. Grant Road, Tucson, AZ 85712
Phone number
(520) 664-2001
Established
Arizona since 12/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
17
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
