Hector A. 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.
Hector Armando Ortiz, who also goes by Armando Ortiz, was a registered financial professional .
Hector is a previously registered financial professional and started their career in finance in 2003. Hector had worked at 4 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
September 19, 2018 - March 24, 2022
PAR5 CAPITAL & CO LLC
July 3, 2014 - September 18, 2018
BARCLAY INVESTMENTS LLC
June 23, 2010 - June 30, 2014
WHITAKER SECURITIES LLC
November 6, 2003 - September 9, 2009
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PAR5 CAPITAL & CO LLC
CRD#: 134657 / SEC#: , 8-66850
Contact information
FINRA licenses (11 States and Territories)
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.
