Jorge L. Ortiz
Professional summary
Jorge Luis Ortiz, who also goes by Jorge L Ortiz, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York and TD FINANCIAL PRODUCTS LLC located in New York, New York.
Jorge is registered as a RR (Registered Representative) and started their career in finance in 2004. Jorge has worked at 9 firms and has passed the SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jorge Luis Ortiz's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 30, 2022 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017May 31, 2024 - Present
TD FINANCIAL PRODUCTS LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017May 31, 2024 - Present
TD PRIME SERVICES LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017June 24, 2024 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017December 5, 2025 - Present
TD ARRANGED SERVICES LLC
Office #1: 1 Vanderbilt Avenue 11 Floor, New York, NY 10017December 6, 2011 - June 18, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 12, 2011 - October 10, 2013
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
March 22, 2007 - August 5, 2010
COWEN AND COMPANY
August 25, 2005 - August 22, 2006
COMMERZ MARKETS LLC
June 8, 2004 - August 8, 2005
COWEN AND COMPANY
March 3, 2004 - May 13, 2004
COWEN AND COMPANY
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
24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD ARRANGED SERVICES LLC
CRD#: 122529 / SEC#: , 8-65509
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
Red Flags
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