Roman Ortega Jr
Professional Summary
Roman Ortega Jr, who also goes by Roman Ortega, is a registered financial advisor currently at CORRALES & CO. located in Miami, Florida. Roman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Roman has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Roman Ortega
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
1 years in the financial services industry
Current & Past Employments
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Current Firm
CORRALES & CO. | CORRALES & COMPANY, LLC
Contact Information
Main Address
1200 Brickell Ave Suite 220, Miami, FL 33131Phone Number
(239) 421-5359# of Employees
10SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
738AUM (Assets Under Management)
$174,189,878Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CORRALES & CO. | CORRALES & COMPANY, LLC
State Registrations and Notice Filings
(7/20/2026)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2025About the Series 6TO examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Roman Ortega Jr's CRS (Customer Relationship Summary).
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