Cesar A. Cortes
Professional summary
Cesar A. Cortes, who also goes by Cesar Cortes, Cesar A. Cortes-diaz, Cesar Cortes-diaz, was a registered financial advisor .
Cesar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Cesar had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
May 15, 2026 - Present
Office #1: 100 Beard Sawmill Rd Suite 345, Shelton, CT 06484
November 14, 2024 - May 28, 2025
LPL ENTERPRISE, LLC
November 14, 2024 - May 28, 2025
LPL ENTERPRISE, LLC
October 14, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
October 14, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
February 5, 2013 - November 13, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
February 5, 2013 - November 13, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
January 15, 2009 - February 5, 2013
MSI FINANCIAL SERVICES, INC.
December 24, 2008 - February 5, 2013
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/15/2026)
Exams
Current firm
No current employment
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.
Company Information
No current employment
TRUST BUT VERIFY
Monitor Cesar Cortes
Get automatic monthly alerts on:
