Alan R. Ortega
Professional summary
Alan Ricardo Ortega is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1997. Alan has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Ricardo Ortega's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2015 - Present
PHX FINANCIAL, INC.
Office #1: 100 Wall Street 10th Floor, New York, NY 10005November 8, 2012 - May 13, 2015
PHX FINANCIAL, INC.
October 28, 2009 - October 3, 2012
JOHN THOMAS FINANCIAL
June 22, 2001 - December 31, 2004
PRINCIPAL SECURITIES, INC.
November 24, 1997 - May 9, 2000
METROPOLITAN LIFE INSURANCE COMPANY
November 24, 1997 - May 9, 2000
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/22/2016)
(8/13/2025)
(10/11/2016)
(10/11/2016)
(1/15/2020)
(4/22/2017)
(10/11/2016)
(10/11/2016)
(1/15/2020)
(10/11/2016)
(3/17/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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