Pablo C. Ortega

LFT SECURITIES

New York, NY 10036

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CRD#: 5363592

Professional summary

Pablo Cesar Ortega, who also goes by Pablo Ortega, Pablo Cesar Ortega-gumucio, Pablo Cesar Ortegagumucio, is a registered financial professional currently at LFT SECURITIES, LLC located in New York, New York and NAVIAN CAPITAL SECURITIES LLC located in New York, New York.

Pablo is registered as a RR (Registered Representative) and started their career in finance in 2008. Pablo has worked at 4 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Pablo Ortega | Pablo Cesar Ortega-Gumucio | Pablo Cesar Ortegagumucio

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) - BD

Click below to view Pablo Cesar Ortega's CRS (Customer Relationship Summary).

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

Current

August 11, 2022 - Present

LFT SECURITIES, LLC

Office #1: 19 West 44th Street Suite 1000, New York, NY 10036

CRD#: 290210

New York, NY

Current

January 5, 2023 - Present

NAVIAN CAPITAL SECURITIES LLC

Office #1: 19 West 44th Street Suite 1000, New York, NY 10036

CRD#: 145037

New York, NY

Past

June 1, 2011 - July 1, 2022

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 14, 2008 - May 19, 2011

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(8/11/2022)

Exams

State Security Law Exam

Series 63

Date: 8/20/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/17/2009

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 11/3/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/13/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NAVIAN CAPITAL SECURITIES LLC

CD FUNDING SECURITIES, LLC | NAVIAN CAPITAL SECURITIES LLC

CRD#: 145037 / SEC#: , 8-67695

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 Walnut Street Suite 2500, Cincinnati, OH 45202

Mailing Address

425 Walnut Street Suite 2500, Cincinnati, OH 45202

Phone number

(513) 980-3264

Established

Delaware since 06/23/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NAVIAN CAPITAL, LLC	OWNER, SOLE MEMBER
BONACCI, TIMOTHY JOHN	PRESIDENT, CEO, SROP, CROP	4194271
JENKINS, ROBERT PATRICK	CHIEF FINANCIAL OFFICER AND COO	6030790
RUSSELL, SARAH DETLING	PRINCIPAL FINANCIAL OFFICER & FINOP	6727189
STACHE, PAUL GERARD	CHIEF COMPLIANCE OFFICER	1170097

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Pablo C. Ortega

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Pablo Cesar Ortega's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVIAN CAPITAL SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/2008

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/17/2009

Series 3

Date: 11/3/2008

Series 7

Date: 8/13/2008

FINRA

Current Firm

NAVIAN CAPITAL SECURITIES LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NAVIAN CAPITAL SECURITIES LLC

TRUST BUT VERIFY

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