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MC

Michael L. Cortez

FENNEL
New York, NY 10017
Some features on this profile are disabled
CRD#: 6063527
MC

Professional summary

Michael Louis Cortez, who also goes by Mike Louis Cortez, is a registered financial professional currently at FENNEL located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 2 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Louis 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) - BD

Click below to view Michael Louis Cortez's CRS (Customer Relationship Summary).
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 10, 2025 - Present

FENNEL

Office #1: 450 Lexington Avenue 4th Floor, New York, NY 10017
BD
CRD#: 316281
New York, NY
Past

October 24, 2016 - December 24, 2024

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX

State Registrations and Notice Filings

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

RR
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

RR
Colorado
(9/26/2025)
RR
District of Columbia
(9/26/2025)
RR
Florida
(9/26/2025)
RR
Louisiana
(9/26/2025)
RR
Maryland
(9/26/2025)
RR
Puerto Rico
(9/26/2025)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FE
FENNEL
FENNEL | FENNEL FINANCIALS LLC

CRD#: 316281 / SEC#: , 8-70779

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
450 Lexington Avenue 4th Floor, New York, NY 10017
Mailing Address
450 Lexington Avenue 4th Floor, New York, NY 10017
Phone number
(877) 606-3565
Established
Delaware since 07/02/2021
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FENNEL MARKETS, INC.SHAREHOLDER
CORTEZ, MICHAEL LOUISDIRECTOR, BROKERAGE OPERATIONS AND COMPLIANCE6063527
GEORGE, THOMAS KEITHFINOP/PFO/POO
PROFFITT, JAY TILDENCHIEF COMPLIANCE OFFICER3176046

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

FENNEL

CRD#: 316281New York, NY 10017

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