Jose M. Ortiz Carrion
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.
Jose Manuel Ortiz Carrion was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2012. Jose had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2013 - September 25, 2013
MONEX ASSET MANAGEMENT, INC.
November 13, 2012 - September 25, 2013
MONEX SECURITIES, INC.
Primary Firm SEC Registration
MONEX ASSET MANAGEMENT, INC.
CRD#: 148123 / SEC#: 801-120366
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MONEX ASSET MANAGEMENT, INC.
CRD#: 148123 / SEC#: 801-120366
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 528 |
| AUM (Assets Under Management) | $ 386,314,126 |
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.
