Sergio V. Ortiz

MERIDIAN WEALTH MANAGEMENT

Tucson, AZ 85711

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CRD#: 7191295

Professional summary

Sergio Villa Ortiz, who also goes by Sergio Ortiz, is a registered financial advisor currently at MERIDIAN WEALTH MANAGEMENT, LLC located in Tucson, Arizona.

Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Sergio has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sergio 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. 100% Owner, 1301 N. Rook Ave, Tucson, AZ 85712, Private Real Estate Investment, Owner, 4/1/17, 2 hours devoted to activity per month, zero hours during trading hours, As owner, I make final decisions brought to my attention (leases, rent extensions, repairs, maintenance, etc.) as well as payments for the mortgage and any operating expenses. 2. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Villa 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 28, 2023 - Present

MERIDIAN WEALTH MANAGEMENT, LLC

Office #1: 5210 E. Williams Circle Suite 820, Tucson, AZ 85711

RIA

CRD#: 151523

Tucson, AZ

Past

October 5, 2022 - October 27, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEWPORT BEACH, CA

Past

July 20, 2022 - October 27, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

Tucson, AZ

Past

September 28, 2020 - June 1, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PHOENIX, AZ

Past

August 4, 2020 - June 1, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PHOENIX, AZ

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".

MERIDIAN WEALTH MANAGEMENT, LLC

MERIDIAN WEALTH MANAGEMENT, LLC | VARSITY WEALTH

CRD#: 151523 / SEC#: 801-70676

RIA

Registered Investment Advisory firm - (10/14/2009 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

Arizona
(9/28/2023)

IAR

Hawaii
(9/29/2023)

IAR

Oregon
(9/29/2023)

IAR

Pennsylvania
(10/2/2023)

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: 9/14/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/3/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/6/2019

Securities Industry Essentials Examination

Current Firm

MERIDIAN WEALTH MANAGEMENT, LLC

MERIDIAN WEALTH MANAGEMENT, LLC | VARSITY WEALTH

CRD#: 151523 / SEC#: 801-70676

RIA

Registered Investment Advisory firm - (10/14/2009 Approved)

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Contact information

Main Address

100 W Main Street Suite 450, Lexington, KY 40507

Mailing Address

Phone number

(859) 543-4516

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERIDIAN WEALTH MANAGEMENT FORM ADV PART 2A 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	8,802
AUM (Assets Under Management)	$ 3,885,527,411

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

Sergio V. Ortiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GOLDMAN SACHS & CO. LLC

UNITED CAPITAL FINANCIAL ADVISORS

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

MERIDIAN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2020

Series 7TO

Date: 8/3/2020

SIE

Date: 9/6/2019

Current Firm

MERIDIAN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MERIDIAN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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