AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
FO

Francisco Ortiz

Some features on this profile are disabled
CRD#: 4677135
FO

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.

Francisco Ortiz, who also goes by Francisco Jose Ortiz, was a registered financial professional .

Francisco is a previously registered financial professional and started their career in finance in 2003. Francisco had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francisco Jose Ortiz

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 5, 2018 - June 26, 2019

BOREAL CAPITAL SECURITIES LLC

BD
CRD#: 158599
MIAMI, FL
Past

May 10, 2016 - October 24, 2016

BRICKELL GLOBAL ADVISORY, INC.

RIA
CRD#: 156643
MIAMI, FL
Past

May 5, 2016 - October 24, 2016

BRICKELL GLOBAL MARKETS, INC.

BD
CRD#: 104316
MIAMI, FL
Past

June 10, 2013 - June 16, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIAMI, FL
Past

June 5, 2013 - June 16, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMI, FL
Past

January 27, 2011 - February 28, 2012

INVESTACORP ADVISORY SERVICES INC

RIA
CRD#: 109011
MIAMI LAKES, FL
Past

December 10, 2010 - February 28, 2012

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI LAKES, FL
Past

August 22, 2008 - December 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
MIAMI, FL
Past

August 20, 2008 - December 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
MIAMI, FL
Past

October 15, 2007 - October 21, 2008

INVESTACORP ADVISORY SERVICES INC

RIA
CRD#: 109011
HIALEAH, FL
Past

August 8, 2007 - August 15, 2008

INVESTACORP, INC.

BD
CRD#: 7684
HIALEAH, FL
Past

June 8, 2005 - September 7, 2007

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
HIALEAH, FL
Past

June 7, 2005 - September 7, 2007

WAMU INVESTMENTS, INC.

BD
CRD#: 599
HIALEAH, FL
Past

August 3, 2004 - June 10, 2005

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MIAMI, FL
Past

March 8, 2004 - June 10, 2005

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 8, 2004 - February 23, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

September 19, 2003 - January 16, 2004

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/29/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/24/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/3/2004
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2003
General Securities Representative Examination

Current Firm

BC
BOREAL CAPITAL SECURITIES LLC
BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES

CRD#: 158599 / SEC#: , 8-68910

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Mailing Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131
Phone number
(305) 459-5400
Established
Delaware since 06/17/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BOREAL CAPITAL HOLDINGS USA, LLCOWNER / MEMBER
FRANCES, JOAQUIN NMNCEO4551274
GAETA, ROBERT BYRONCHIEF COMPLIANCE OFFICER\AMLCO1770315
STICE, HAROLD EUGENEFINOP1349210

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

BOREAL CAPITAL SECURITIES LLC

CRD#: 158599

TRUST BUT VERIFY

Monitor Francisco Ortiz

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.