Luis Ortiz

VANGUARD ADVISERS

PLANO, TX 75024

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CRD#: 6190618

Professional summary

Luis Ortiz, who also goes by Luis Alberto Ortiz, Luis Ortiz Bernal, Luis Alberto Ortiz-bernal, Luis A Ortiz, is a registered financial advisor currently at VANGUARD ADVISERS, INC. located in Plano, Texas and VANGUARD MARKETING CORPORATION located in Plano, Texas.

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 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Aliases

Luis Alberto Ortiz | Luis Ortiz Bernal | Luis Alberto Ortiz-Bernal | Luis A Ortiz

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.

1) Best Buy - Sales Advisor; Retail 2) Instacart - Driver; Food Delivery

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Ortiz'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

September 18, 2026 - Present

VANGUARD ADVISERS, INC.

Office #1: 7900 Windrose Ave, Plano, TX 75024

RIA

CRD#: 106715

PLANO, TX

Current

September 18, 2026 - Present

VANGUARD MARKETING CORPORATION

Office #1: 7900 Windrose Ave, Plano, TX 75024

CRD#: 7452

PLANO, TX

Past

September 19, 2022 - August 6, 2026

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Edinburg, TX

Past

September 3, 2020 - August 6, 2026

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

December 18, 2018 - October 7, 2019

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

March 26, 2018 - December 12, 2018

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

May 29, 2013 - September 21, 2017

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Texas
(9/18/2026)

IAR

Texas
(9/18/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 66

Status Unavailable

Passed: 9/3/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 6/10/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 5/28/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANGUARD ADVISERS, INC.

VANGUARD ADVISERS INC | VPAS VPFP VFS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS VANGUARD NAVIGATOR PLUS | VPAS VPFP VFS AMTS | VANGUARD ADVISERS, INC.

CRD#: 106715 / SEC#: 801-49601

RIA

Registered Investment Advisory firm - (7/28/1995 Approved)

PREMIUM

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Contact information

Main Address

100 Vanguard Blvd, Malvern, PA 19355

Mailing Address

Phone number

(610) 669-1000

Established

Firm type

Fiscal year end

# of Employees

2,208

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VANGUARD DIGITAL ADVISOR AND VANGUARD PERSONAL ADVISOR (9/24/2026)

VANGUARD MANAGED ACCOUNT PROGRAM AND PERSONAL ONLINE ADVISOR (3/30/2026)

VANGUARD SITUATIONAL ADVISOR BROCHURE (3/30/2026)

VANGUARD MODEL PORTFOLIOS (3/30/2026)

STABLE VALUE (3/30/2026)

VANGUARD PERSONAL ADVISOR SELECT (3/30/2026)

Regulatory assets under management

Total Number of Accounts	791,528
AUM (Assets Under Management)	$ 344,619,578,214

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/24/2025	Cover Page	Report
10/23/2024	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.

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Advisor Monitoring

Firm Stability Insights

Luis Ortiz

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Luis Ortiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD MARKETING CORPORATION

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

VANGUARD ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Passed: 9/3/2022

Series 63

Passed: 6/10/2013

SIE

Passed: 10/1/2018

Series 7

Passed: 5/28/2013

FINRA

Current Firm

VANGUARD ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VANGUARD ADVISERS, INC.

TRUST BUT VERIFY

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