Nathaniel 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.
Nathaniel Ortiz, who also goes by Nathaniel Ortiz, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2002. Nathaniel had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2018 - November 15, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 30, 2015 - October 5, 2016
CAPE SECURITIES INC.
October 30, 2014 - June 25, 2015
BLACKBOOK CAPITAL, LLC
October 22, 2013 - June 18, 2014
LEGEND SECURITIES, INC.
April 18, 2011 - October 10, 2013
CALDWELL INTERNATIONAL SECURITIES
December 20, 2010 - April 21, 2011
MOMENTUM INDEPENDENT NETWORK INC.
August 22, 2008 - December 17, 2010
WORLD EQUITY GROUP, INC.
October 2, 2007 - August 27, 2008
INVESTORS CAPITAL CORP.
January 31, 2007 - September 25, 2007
WALLSTREET*E FINANCIAL SERVICES, INC.
September 5, 2006 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
March 8, 2004 - September 27, 2006
GRANTA CAPITAL GROUP LLC
November 19, 2003 - March 9, 2004
NATIONAL SECURITIES CORPORATION
December 18, 2002 - September 10, 2003
GRANTA CAPITAL GROUP LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
