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Erica Jean Cortez

Erica Jean Cortez

CRD#: 5784434
Some features on this profile are disabled
Erica Jean Cortez
Erica Jean Cortez

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.

Erica Jean Cortez, CFP®, who also goes by E J Cortez, E J Cortez, Ej Cortez, Erica Alikpala Cortez, Erica J Cortez, Erica Jean Cortez, Erica Jean Alikapala Cortez, Erica Jean Alikpala Cortez, was a registered financial professional .

Erica Jean is a previously registered financial professional and started their career in finance in 2010. Erica Jean had worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

E J Cortez | E J Cortez | Ej Cortez | Erica Alikpala Cortez | Erica J Cortez | Erica Jean Cortez | Erica Jean Alikapala Cortez | Erica Jean Alikpala Cortez

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Past

July 14, 2025 - June 16, 2026

MARINER WEALTH

RIA
CRD#: 140195
Tigard, OR
Past

January 2, 2025 - July 7, 2025

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA
CRD#: 116407
LAKE OSWEGO, OR
Past

October 4, 2023 - January 13, 2025

NORTHWEST INVESTMENT COUNSELORS

RIA
CRD#: 327970
LAKE OSWEGO, OR
Past

March 28, 2022 - August 15, 2023

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
PORTLAND, OR
Past

March 28, 2022 - August 15, 2023

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
PORTLAND, OR
Past

October 20, 2021 - April 4, 2022

EMPIRICAL WEALTH MANAGEMENT

RIA
CRD#: 152622
Portland, OR
Past

January 22, 2021 - April 20, 2021

PEAK BROKERAGE SERVICES, LLC

BD
CRD#: 157045
PORTLAND, OR
Past

March 29, 2016 - October 19, 2020

WADDELL & REED

RIA
CRD#: 866
VANCOUVER, WA
Past

February 26, 2016 - October 19, 2020

WADDELL & REED

BD
CRD#: 866
VANCOUVER, WA
Past

March 26, 2015 - November 12, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
TIGARD, OR
Past

March 12, 2015 - November 11, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
TIGARD, OR
Past

September 5, 2014 - February 23, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
PORTLAND, OR
Past

November 8, 2013 - March 4, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PORTLAND, OR
Past

November 8, 2013 - March 4, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PORTLAND, OR
Past

August 22, 2013 - October 31, 2013

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
PORTLAND, OR
Past

August 22, 2013 - October 31, 2013

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
PORTLAND, OR
Past

March 25, 2011 - August 22, 2013

WADDELL & REED

RIA
CRD#: 866
PORTLAND, OR
Past

March 25, 2011 - August 22, 2013

WADDELL & REED

BD
CRD#: 866
PORTLAND, OR
Past

January 3, 2011 - February 22, 2011

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

December 21, 2010 - February 22, 2011

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

June 29, 2010 - September 29, 2010

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
LAKE OSWEGO, OR
Past

May 5, 2010 - July 12, 2010

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
PORTLAND, OR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

CRD#: 140195 / SEC#: 801-66632

RIA
Registered Investment Advisory firm - (4/24/2006 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/20/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/4/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

CRD#: 140195 / SEC#: 801-66632

RIA
Registered Investment Advisory firm - (4/24/2006 Approved)
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Contact information

Main Address
5700 W. 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(913) 904-5700
Established
Firm type
Fiscal year end
# of Employees
1,503

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARINER ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts155,767
AUM (Assets Under Management)$ 98,603,233,201

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2025
Cover Page
Report
11/19/2024
Cover Page
Report
12/21/2023
Cover Page
Report

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

MARINER WEALTH

CRD#: 140195

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