Rocio M. Ortega

WE FAMILY OFFICES

Coral Gables, FL 33134

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CRD#: 4285252

Professional summary

Rocio Mayela Ortega, CFP®, who also goes by Rocio M Ortega, is a registered financial advisor currently at WE FAMILY OFFICES located in Coral Gables, Florida.

Rocio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Rocio has worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rocio M Ortega

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) - RIA

Click below to view Rocio Mayela Ortega'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®

CFP^®

Certified Financial Planner

Experience

Current

September 15, 2014 - Present

WE FAMILY OFFICES

Office #1: 2811 Ponce De Leon Blvd Suite 840, Coral Gables, FL 33134

RIA

CRD#: 109869

Coral Gables, FL

Past

October 8, 2010 - April 17, 2014

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 1, 2008 - September 23, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 20, 2005 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

September 23, 2004 - September 28, 2005

ROBOTTI SECURITIES, LLC

CRD#: 13251

NEW YORK, NY

Past

June 2, 2003 - October 5, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

February 20, 2001 - May 6, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

WE FAMILY OFFICES

CRD#: 109869 / SEC#: 801-60025

RIA

Registered Investment Advisory firm - (2/14/2001 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/15/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WE FAMILY OFFICES

CRD#: 109869 / SEC#: 801-60025

RIA

Registered Investment Advisory firm - (2/14/2001 Approved)

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Contact information

Main Address

2811 Ponce De Leon Blvd Suite 840, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 825-2225

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WE FAMILY OFFICES FORM ADV 2A BROCHURE 3-31-2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	107
AUM (Assets Under Management)	$ 15,364,800,717

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.

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Rocio M. Ortega

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rocio Mayela Ortega's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

ROBOTTI SECURITIES, LLC

MML INVESTORS SERVICES, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

WE FAMILY OFFICES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2014

Series 63

Date: 6/22/2001

Series 7

Date: 1/21/2005

Series 6

Date: 2/16/2001

Current Firm

WE FAMILY OFFICES

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WE FAMILY OFFICES

TRUST BUT VERIFY

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