Roland Ortiz

ATHENA WEALTH MANAGEMENT

Murrieta, CA 92562

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CRD#: 6762933

Professional summary

Roland Ortiz is a registered financial advisor currently at ATHENA WEALTH MANAGEMENT located in Murrieta, California.

Roland is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Roland has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Sole Proprietor - Life, Disability and Fixed Annuity Insurance 31927 Feather Creek Dr. Menifee, CA 92584 Independent Insurance Agent January 29, 2019 2 hour a month No hours during security trading hours Providing multiple insurance carriers illustrations for clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roland Ortiz'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®

None

Experience

Current

November 1, 2019 - Present

ATHENA WEALTH MANAGEMENT

Office #1: 24630 Washington Ave Suite 202, Murrieta, CA 92562

RIA

CRD#: 304017

Murrieta, CA

Past

August 17, 2017 - August 8, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CARLSBAD, CA

Past

July 1, 2017 - August 8, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CARLSBAD, CA

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

California
(11/1/2019)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/16/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/30/2017

General Securities Representative Examination

Current Firm

ATHENA WEALTH MANAGEMENT

ATHENA WEALTH MANAGEMENT | IG ADVISORS LLC

CRD#: 304017 / SEC#:

California

Registered Investment Advisory firm - (11/1/2019 Approved)

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Contact information

Main Address

24630 Washington Ave Suite 202, Murrieta, CA 92562

Mailing Address

Phone number

(951) 448-6579

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 3,796,417

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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Roland Ortiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ATHENA WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2017

SIE

Date: 8/8/2018

Series 7

Date: 6/30/2017

Current Firm

ATHENA WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ATHENA WEALTH MANAGEMENT

TRUST BUT VERIFY

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