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RO

Roberto I. Ortega

NHABLA
Spring, TX
Some features on this profile are disabled
CRD#: 6401443
RO

Professional summary

Roberto Ivan Ortega, CFP®, who also goes by Roberto Ortega, is a registered financial advisor currently at NHABLA located in Spring, Texas.

Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Roberto has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Roberto Ortega

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) - RIA

Click below to view Roberto Ivan Ortega's 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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Current

October 29, 2024 - Present

NHABLA

RIA
CRD#: 313311
Spring, TX
Past

February 3, 2022 - July 15, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
The Woodlands, TX
Past

February 3, 2022 - July 15, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
The Woodlands, TX
Past

July 13, 2018 - January 16, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

November 8, 2016 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
THE WOODLANDS, TX
Past

September 21, 2015 - January 14, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
THE WOODLANDS, TX
Past

October 24, 2014 - August 7, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
THE WOODLANDS, TX

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.

Highlighted states indicate IAR registrations

IAR
Texas
(10/29/2024)
IAR
Virginia
(10/29/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/11/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/5/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/24/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

NH
NHABLA
NABLA | NHABLA LLC | NHABLA | NABLA FINANCIAL INC.

CRD#: 313311 / SEC#:

Delaware
Registered Investment Advisory firm - (11/25/2024 Terminated)
Florida
Registered Investment Advisory firm - (11/25/2024 Terminated)
Maryland
Registered Investment Advisory firm - (12/6/2024 Terminated)
Pennsylvania
Registered Investment Advisory firm - (12/6/2024 Terminated)
Texas
Registered Investment Advisory firm - (1/9/2025 Approved)
Virginia
Registered Investment Advisory firm - (5/11/2022 Approved)
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Contact information

Main Address
2300 Wilson Blvd. Suite 700 #1076, Arlington, VA 22201
Mailing Address
Phone number
(202) 599-3614
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts41
AUM (Assets Under Management)$ 5,658,610

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

NHABLA

CRD#: 313311Spring, TX

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