Luis G. Cortez
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.
Luis Gabriel Cortez, who also goes by Luis Gabriel Cortez, Luis Cortez, Luis G Cortez, Luis Pedro, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2005. Luis had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2024 - October 21, 2024
ARK WEALTH MANAGEMENT
October 1, 2021 - August 12, 2022
J.P. MORGAN SECURITIES LLC
September 30, 2021 - August 12, 2022
J.P. MORGAN SECURITIES LLC
January 28, 2020 - June 30, 2020
AVANTAX ADVISORY SERVICES
January 28, 2020 - June 30, 2020
AVANTAX INVESTMENT SERVICES, INC.
June 28, 2019 - January 31, 2020
ONEAMERICA SECURITIES, INC.
June 27, 2019 - January 31, 2020
ONEAMERICA SECURITIES, INC.
April 19, 2018 - October 31, 2018
PRUCO SECURITIES, LLC.
April 11, 2018 - October 31, 2018
PRUCO SECURITIES, LLC.
October 5, 2016 - March 14, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
September 7, 2016 - March 14, 2018
THRIVENT INVESTMENT MANAGEMENT INC.
November 24, 2014 - September 3, 2015
NEXT FINANCIAL GROUP, INC.
November 24, 2014 - September 3, 2015
NEXT FINANCIAL GROUP, INC.
October 18, 2010 - December 4, 2014
NEW ENGLAND SECURITIES
October 18, 2010 - December 4, 2014
NEW ENGLAND SECURITIES
March 11, 2009 - September 29, 2010
EQUITABLE ADVISORS, LLC
March 11, 2009 - September 29, 2010
EQUITABLE ADVISORS, LLC
May 13, 2008 - February 23, 2009
CUSO FINANCIAL SERVICES, L.P.
May 13, 2008 - February 23, 2009
CUSO FINANCIAL SERVICES, L.P.
November 28, 2006 - May 9, 2008
CUE FINANCIAL GROUP, INC.
November 28, 2006 - May 9, 2008
CUE FINANCIAL GROUP, INC.
July 12, 2006 - November 21, 2006
WELLS FARGO INVESTMENTS, LLC
January 20, 2006 - November 21, 2006
WELLS FARGO INVESTMENTS, LLC
April 26, 2005 - October 20, 2005
CAPITAL ONE INVESTMENTS, LLC
Primary Firm SEC Registration
ARK WEALTH MANAGEMENT
CRD#: 317264 / SEC#: 801-123029
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
ARK WEALTH MANAGEMENT
CRD#: 317264 / SEC#: 801-123029
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 539 |
| AUM (Assets Under Management) | $ 191,000,000 |
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.
