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 8 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 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
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
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
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 PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
