CO
Christopher M. Ortiz
ARETE WEALTH ADVISORS
Melville, NY 11747
Some features on this profile are disabled
CRD#: 2858626
CO
Professional summary
Christopher Michael Ortiz is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Melville, New York and ARETE WEALTH MANAGEMENT, LLC located in Melville, New York.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Christopher has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 4 and Series 24 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.
FINCADIA LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA CAPITAL PARTNERS LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. FINCADIA WEALTH MANAGEMENT LLC: DBA; REGISTERED REP/ADVISOR; MELVILLE, NY; START DATE 07/2022; FULL TIME; INVESTMENT RELATED. CAROL'S ARMY INC.: CHARITY; OWNER; DIX HILLS, NY; START DATE 05/2023; 1 HR/MTH; NOT INVESTMENT RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Michael Ortiz'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
July 19, 2022 - Present
ARETE WEALTH ADVISORS, LLC
Office #1: 425 Broadhollow Rd Suite 325, Melville, NY 11747RIA
CRD#: 145488
Melville, NY
Current
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 425 Broadhollow Rd. Suite 325, Melville, NY 11747BD
CRD#: 44856
Melville, NY
Past
May 13, 2008 - July 21, 2022
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Melville, NY
Past
January 27, 2004 - July 21, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MELVILLE, NY
Past
December 22, 2000 - January 29, 2004
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
September 28, 1999 - January 2, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
BD
CRD#: 16184
ENGLEWOOD, CO
Past
November 21, 1997 - October 9, 1998
SEABOARD SECURITIES, INC.
BD
CRD#: 755
FLORHAM PARK, NJ
Past
May 6, 1997 - November 19, 1997
FAIRCHILD FINANCIAL GROUP, INC.
BD
CRD#: 21404
NEW YORK, NY
Past
April 2, 1997 - April 29, 1997
GLOBAL CAPITAL MARKETS, LLC
BD
CRD#: 16191
MELVILLE, NY
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".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)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
Alabama(8/10/2022)
RR
Alaska(8/8/2022)
RR
Arizona(7/20/2022)
RR
Arkansas(8/9/2022)
RR
California(7/20/2022)
RR
Colorado(8/16/2022)
RR
Connecticut(7/20/2022)
RR
Delaware(8/10/2022)
RR
District of Columbia(7/20/2022)
RR
Florida(7/20/2022)
IAR
Florida(1/11/2023)
RR
Georgia(7/20/2022)
RR
Hawaii(8/21/2023)
RR
Idaho(7/20/2022)
RR
Illinois(9/19/2022)
RR
Indiana(7/20/2022)
RR
Iowa(7/20/2022)
RR
Kansas(7/20/2022)
RR
Kentucky(10/17/2022)
RR
Louisiana(7/20/2022)
RR
Maine(7/21/2022)
RR
Maryland(7/20/2022)
RR
Massachusetts(8/17/2022)
RR
Michigan(7/20/2022)
RR
Minnesota(8/1/2022)
RR
Mississippi(7/20/2022)
RR
Missouri(8/8/2022)
RR
Montana(7/20/2022)
RR
Nebraska(7/20/2022)
RR
Nevada(7/20/2022)
RR
New Hampshire(9/28/2022)
RR
New Jersey(7/20/2022)
IAR
New Jersey(7/27/2022)
RR
New Mexico(7/20/2022)
RR
New York(7/20/2022)
IAR
New York(7/20/2022)
RR
North Carolina(8/2/2022)
RR
North Dakota(7/20/2022)
RR
Ohio(7/20/2022)
RR
Oklahoma(7/20/2022)
RR
Oregon(7/20/2022)
RR
Pennsylvania(8/10/2022)
RR
Puerto Rico(7/20/2022)
RR
Rhode Island(7/20/2022)
RR
South Carolina(7/20/2022)
RR
South Dakota(7/20/2022)
RR
Tennessee(7/20/2022)
IAR
Texas(7/19/2022)
RR
Texas(8/8/2022)
RR
Utah(8/3/2022)
RR
Vermont(9/28/2022)
RR
Virginia(7/20/2022)
RR
Washington(8/8/2022)
RR
West Virginia(7/20/2022)
RR
Wisconsin(8/11/2022)
RR
Wyoming(7/20/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 10/17/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
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.
