Rafael A. Ortiz
Professional summary
Rafael Angel Ortiz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rafael is a previously registered financial advisor and started their career in finance in 2008. Prior to being barred, Rafael had worked at 8 firms, which includes CETERA INVESTMENT ADVISERS LLC, CETERA INVESTMENT SERVICES LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., WELLS FARGO CLEARING SERVICES LLC, UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, UBS FINANCIAL SERVICES INC., CETERA WEALTH SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2015 - October 16, 2015
CETERA INVESTMENT ADVISERS LLC
February 27, 2015 - October 16, 2015
CETERA INVESTMENT SERVICES LLC
October 4, 2012 - February 25, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - February 25, 2015
J.P. MORGAN SECURITIES LLC
June 25, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 14, 2011 - May 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 24, 2008 - March 25, 2011
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
June 24, 2008 - March 25, 2011
UBS FINANCIAL SERVICES INC.
March 20, 2008 - June 3, 2008
CETERA WEALTH SERVICES, 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
Exams
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
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