Pablo R. King 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.
Pablo Ricardo King Ortiz, CFP®, who also goes by Pablo Ricardo King, Pablo Ricardo King Ortiz, Pablo King Ortiz, was a registered financial professional .
Pablo is a previously registered financial professional and started their career in finance in 2005. Pablo had worked at 5 firms and has passed the Series 66, 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
Start date: 2015
Experience
July 2, 2019 - April 27, 2021
EAGLE STRATEGIES LLC
June 13, 2019 - April 27, 2021
NYLIFE SECURITIES LLC
August 15, 2012 - May 23, 2019
U.S. BANCORP INVESTMENTS, INC.
August 13, 2012 - May 23, 2019
U.S. BANCORP INVESTMENTS, INC.
January 3, 2011 - August 14, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - August 14, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 14, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
