Luis A. Ortiz
Professional summary
Luis Alberto Ortiz, who also goes by Luis Ortiz Bernal, Luis Alberto Ortiz-bernal, Luis A Ortiz, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Edinburg, Texas and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Luis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Luis has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Luis Alberto Ortiz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 19, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
September 3, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111December 18, 2018 - October 7, 2019
EMPOWER FINANCIAL SERVICES, INC.
March 26, 2018 - December 12, 2018
CHARLES SCHWAB & CO., INC.
May 29, 2013 - September 21, 2017
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2020)
(9/3/2020)
(9/14/2020)
(9/8/2020)
(9/4/2020)
(9/9/2020)
(9/10/2020)
(9/4/2020)
(9/4/2020)
(9/3/2020)
(9/18/2020)
(9/8/2020)
(9/11/2020)
(9/9/2020)
(9/8/2020)
(9/3/2020)
(9/3/2020)
(9/8/2020)
(9/4/2020)
(9/10/2020)
(9/8/2020)
(9/4/2020)
(9/4/2020)
(10/12/2020)
(9/4/2020)
(9/3/2020)
(9/11/2020)
(9/5/2020)
(9/4/2020)
(9/9/2020)
(9/11/2020)
(10/16/2020)
(9/4/2020)
(9/8/2020)
(9/14/2020)
(9/4/2020)
(9/10/2020)
(9/3/2020)
(9/19/2022)
(9/8/2020)
(9/4/2020)
(9/3/2020)
(9/8/2020)
(9/8/2020)
(9/3/2020)
(9/8/2020)
Exams
FINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
