Roman Ortega

CORRALES & CO.

MIAMI, FL 33131

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CRD#: 8031009

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

Always Fiduciary

Aliases

Roman 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 Roman Ortega Jr'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 20, 2026 - Present

CORRALES & CO.

Office #1: 1200 Brickell Ave Suite 220, Miami, FL 33131

RIA

CRD#: 332189

MIAMI, FL

Past

February 17, 2026 - July 14, 2026

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

July 10, 2025 - July 14, 2026

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

Oak Brook, IL

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".

CORRALES & CO.

CORRALES & CO. | CORRALES & COMPANY, LLC

CRD#: 332189 / SEC#: 801-130804

RIA

Registered Investment Advisory firm - (8/12/2024 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

Illinois
(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

State Security Law Exam

IAR

Series 65

Date: 2/14/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 7/10/2025

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 3/24/2025

Securities Industry Essentials Examination

Current Firm

CORRALES & CO.

CORRALES & CO. | CORRALES & COMPANY, LLC

CRD#: 332189 / SEC#: 801-130804

RIA

Registered Investment Advisory firm - (8/12/2024 Approved)

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Contact information

Main Address

1200 Brickell Ave Suite 220, Miami, FL 33131

Mailing Address

Phone number

(239) 421-5359

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A- CORRALES & CO. (3/27/2025)

Regulatory assets under management

Total Number of Accounts	574
AUM (Assets Under Management)	$ 167,494,419

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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Firm Stability Insights

Roman Ortega

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CORRALES & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2026

Series 63

Date: 10/9/2025

Series 6TO

Date: 7/10/2025

SIE

Date: 3/24/2025

Current Firm

CORRALES & CO.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORRALES & CO.

TRUST BUT VERIFY

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