Carlos A. Cortez

CORTEZ WEALTH ADVISORS LLC

Oldsmar, FL 34677

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CRD#: 5378014

Professional summary

Carlos Alfredo Cortez JR. is a registered financial advisor currently at CORTEZ WEALTH ADVISORS LLC located in Oldsmar, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Carlos has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) 01/2012 - PRESENT, CORTEZ WEALTH MANAGEMENT, 6601 MEMORIAL HIGHWAY, SUITE 209,TAMPA, FL, OWNER/FINANCIAL SERVICES, INSURANCE, INVESTMENT ADVISOR, CEO AND PRESIDENT, HOURS DEDICATED: 20/WEEK (20/WEEK DURING TRADING HOURS) 2) GOLD SALES FOR CORNERSTONE ASSET METAL, TAMPA, FL, 3/MONTH, START: 2022, INVESTMENT RELATED 3) SCRIPTURES & WALLSTREET PODCAST; NON-INVESTMENT RELATED; OLDSMAR, FL; PODCAST; PRESIDENT & HOST; START: 11/2024; 12 HRS/MO DURING NON-TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alfredo Cortez JR.'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

February 2, 2018 - Present

CORTEZ WEALTH ADVISORS LLC

Office #1: 3935 Tampa Rd Ste. 3, Oldsmar, FL 34677

RIA

CRD#: 285131

Oldsmar, FL

Past

July 8, 2019 - February 27, 2020

WORLD EQUITY GROUP, INC.

CRD#: 29087

Clearwater, FL

Past

February 2, 2018 - December 31, 2018

CORTEZ WEALTH ADVISORS LLC

RIA

CRD#: 285131

CLEARWATER, FL

Past

November 17, 2014 - March 1, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

TAMPA, FL

Past

October 24, 2014 - July 15, 2019

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

Clearwater, FL

Past

October 28, 2013 - October 30, 2014

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA

CRD#: 143384

TAMPA, FL

Past

October 8, 2013 - September 30, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

TAMPA, FL

Past

April 4, 2013 - April 8, 2014

COPPELL ADVISORY SOLUTIONS LLC

RIA

CRD#: 156549

TAMPA, FL

Past

February 18, 2011 - January 15, 2013

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

TAMPA, FL

Past

February 11, 2011 - January 15, 2013

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

September 7, 2010 - February 14, 2011

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

TAMPA, FL

Past

September 7, 2010 - February 14, 2011

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

TAMPA, FL

Past

October 5, 2009 - September 8, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

TAMPA, FL

Past

October 5, 2009 - September 8, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

TAMPA, FL

Past

June 6, 2008 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

ORLANDO, FL

Past

April 7, 2008 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

ORLANDO, FL

Past

November 16, 2007 - January 2, 2008

GARDEN STATE SECURITIES, INC.

CRD#: 10083

RALEIGH, NC

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(9/9/2022)

IAR

Florida
(2/2/2018)

IAR

Louisiana
(2/12/2018)

IAR

Texas
(1/15/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/29/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/2/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/2007

General Securities Representative Examination

Current Firm

CORTEZ WEALTH ADVISORS LLC

CORTEZ WEALTH ADVISORS LLC | CORTEZ WEALTH MANAGEMENT LLC

CRD#: 285131 / SEC#:

Arizona

Registered Investment Advisory firm - (9/9/2022 Approved)

Florida

Registered Investment Advisory firm - (2/2/2018 Approved)

Louisiana

Registered Investment Advisory firm - (2/12/2018 Approved)

Texas

Registered Investment Advisory firm - (1/15/2019 Conditional Restricted)

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Contact information

Main Address

3935 Tampa Rd Ste. 3, Oldsmar, FL 34677

Mailing Address

Phone number

(813) 448-3446

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Carlos A. Cortez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Alfredo Cortez JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

WORLD EQUITY GROUP, INC.

CORTEZ WEALTH ADVISORS LLC

BROOKSTONE WEALTH ADVISORS, LLC

TAYLOR CAPITAL MANAGEMENT INC.

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RESOURCE HORIZONS GROUP LLC

COPPELL ADVISORY SOLUTIONS LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

GARDEN STATE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2008

Series 63

Date: 5/2/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/15/2007

Current Firm

CORTEZ WEALTH ADVISORS LLC

Contact information

Documents

Red Flags

Company Information

CORTEZ WEALTH ADVISORS LLC

TRUST BUT VERIFY

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