Carlos Ortega

TOWNELEY CAPITAL MANAGEMENT

Laguna Hills, CA 92653

Some features on this profile are disabled

CRD#: 7043236

Professional summary

Carlos Ortega is a registered financial advisor currently at TOWNELEY CAPITAL MANAGEMENT, INC. located in Laguna Hills, California.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Carlos has worked at 2 firms and has passed the Series 66, Series 7TO and SIE 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.

TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 154 START DATE: 05/01/2019 ADDRESS: 4001 Macarthur Blvd, Ste 300, Newport Beach CA 92660, United States DESCRIPTION: Compensation varies. On an as needed basis, sale of fixed risk products to clients as apart of normal consultations with prospective or existing clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Ortega'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

July 17, 2023 - Present

TOWNELEY CAPITAL MANAGEMENT, INC.

Office #1: 23197 La Cadena Drive Suite 103, Laguna Hills, CA 92653

RIA

CRD#: 169863

Laguna Hills, CA

Past

July 16, 2020 - July 11, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

NEWPORT BEACH, CA

Past

November 18, 2019 - July 11, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

NEWPORT BEACH, CA

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".

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC. | TOWNELEY INVESTMENT MANAGEMENT, INC.

CRD#: 169863 / SEC#: 801-78957

RIA

Registered Investment Advisory firm - (12/19/2013 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.

Highlighted states indicate IAR registrations

IAR

California
(7/17/2023)

IAR

Texas
(7/17/2023)

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: 7/2/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/18/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/11/2019

Securities Industry Essentials Examination

Current Firm

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC. | TOWNELEY INVESTMENT MANAGEMENT, INC.

CRD#: 169863 / SEC#: 801-78957

RIA

Registered Investment Advisory firm - (12/19/2013 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

23197 La Cadena Drive Suite 103, Laguna Hills, CA 92653

Mailing Address

Phone number

(949) 837-3580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOWNELEY CAPITAL MANAGEMENT, INC. DISCLOSURE BROCHURE (4/28/2025)

Regulatory assets under management

Total Number of Accounts	423
AUM (Assets Under Management)	$ 1,024,211,665

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carlos Ortega

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Ortega's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOWNELEY CAPITAL MANAGEMENT, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TOWNELEY CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2020

Series 7TO

Date: 11/18/2019

SIE

Date: 6/11/2019

Current Firm

TOWNELEY CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWNELEY CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors