Shelley B. 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.
Shelley B Ortiz, who also goes by Shelley B Kiken, was a registered financial professional .
Shelley is a previously registered financial professional and started their career in finance in 1977. Shelley had worked at 7 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - January 12, 2015
CANTONE RESEARCH INC.
August 3, 2004 - November 24, 2014
W.A. CAPITAL MARKETS
March 11, 2004 - August 3, 2004
RAFFERTY CAPITAL MARKETS, LLC
December 10, 1985 - April 30, 2004
J.J. KENNY DRAKE, INC.
February 25, 1981 - September 28, 1984
WOLFE & HURST SECURITIES INC.
August 18, 1977 - February 23, 1979
WEEDEN & CO.
August 18, 1977 - March 2, 1981
MOSELEY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
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.
