Ivan G. Ortiz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ivan Gregorio Ortiz, who also goes by IVan G Ortiz, Ivan Ortiz Camacho, was a registered financial professional .
Ivan is a previously registered financial professional and started their career in finance in 2001. Ivan had worked at 5 firms and has passed the Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2013 - May 1, 2014
ARCOLA SECURITIES, INC.
November 1, 2010 - May 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2010 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 14, 2009 - August 24, 2010
JEFFERIES LLC
May 3, 2007 - July 14, 2009
MORGAN STANLEY & CO. LLC
October 18, 2005 - April 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2004 - August 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2001 - August 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ARCOLA SECURITIES, INC.
CRD#: 147952 / SEC#: , 8-67940
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANNALY TRS, INC. | SHAREHOLDER | |
| GRIFFIN, JOHANNA | DIRECTOR | 2008809 |
| HERNANDEZ, MIKE | CFO/FINOP, TREASURER | 3042594 |
| HUNT, JON THOMAS | DIRECTOR, PRESIDENT | 2929809 |
| KOUKOURAS, PANAGIOTI | DIRECTOR | 4694542 |
| MCKIM, JASON DAVID | GENERAL COUNSEL, SECRETARY | 6333143 |
| TRUZZI, ROCHELLE ANN | CHIEF COMPLIANCE OFFICER, AMLCO | 2754706 |
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.
