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WO

Wilfredo Ortiz

ITAU INTERNATIONAL SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3271009
WO

Professional summary

Wilfredo Ortiz, who also goes by Wilo Ortiz, Wilfredo Ortiz Diaz, is a registered financial professional currently at ITAU INTERNATIONAL SECURITIES INC. located in Miami, Florida.

Wilfredo is registered as a RR (Registered Representative) and started their career in finance in 2000. Wilfredo has worked at 9 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wilo Ortiz | Wilfredo Ortiz Diaz

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wilfredo Ortiz's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 1, 2021 - Present

ITAU INTERNATIONAL SECURITIES INC.

Office #1: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131Office #2: 200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
RIA
BD
CRD#: 144769
Miami, FL
Past

May 10, 2019 - March 15, 2021

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

November 20, 2018 - May 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 8, 2009 - November 12, 2018

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 18, 2008 - March 24, 2009

RODMAN & RENSHAW, LLC

BD
CRD#: 16415
NEW YORK, NY
Past

August 23, 2007 - June 18, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 18, 2006 - August 17, 2007

ATLAS STRATEGIC ADVISORS, LLC

BD
CRD#: 138970
NEW YORK, NY
Past

May 1, 2001 - August 30, 2005

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

February 11, 2000 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(10/1/2021)
RR
Connecticut
(10/1/2021)
RR
Florida
(10/1/2021)
RR
New York
(10/1/2021)
RR
Texas
(10/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 2/7/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 12/16/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 2/9/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

II
ITAU INTERNATIONAL SECURITIES INC.
ITAU EUROPA SECURITIES INC. | ITAU SECURITIES | ITAU INTERNATIONAL SECURITIES INC.

CRD#: 144769 / SEC#: 801-112301, 8-67674

RIA
Registered Investment Advisory firm - SEC (7/22/2022 Terminated)
Florida
Registered Investment Advisory firm - SEC (7/19/2022 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
Mailing Address
200 S. Biscayne Blvd. Suite 2200, Miami, FL 33131
Phone number
(305) 416-7813
Established
Delaware since 03/08/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ITAU BBA INTERNATIONAL PLCDIRECT OWNER
AAGESEN, MARCELODIRECTOR - EXECUTIVE REPRESENTATIVE - HEAD OF MARKETS6905674
BALTOVSKI, ALEXANDERPRINCIPAL OPERATIONS OFFICER2350828
BEYRUTI, FERNANDO MATTARDIRECTOR AND CHAIRMAN6629310
BRITO DE LIMA, MARCIOHEAD INVESTOR6954691
COHEN, ALAN MARCELHEAD TRADER6921752
DE OLIVEIRA MARQUES, FERNANDO LUIZHEAD OF COMMERCIAL7861011
GAITAN, SARA CATALINACHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER4733588
GAMBA, THIAGO DA SILVACHIEF COMPLIANCE OFFICER - ITAU PRIVATE BANK MIAMI6622732
GLYNN, MICHAEL GERARDCHIEF FINANCIAL OFFICER, FINOP/PRINCIPAL FINANCIAL OFFICER3219445
MOREIRA, PERCY AUGUSTODIRECTOR4882443

Regulatory assets under management

Total Number of Accounts34
AUM (Assets Under Management)$ 56,559,226

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.

Company Information

ITAU INTERNATIONAL SECURITIES INC.

CRD#: 144769Miami, FL 33131

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