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Alan Ricardo Ortega

PHX Financial, Inc.

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About Alan Ricardo Ortega

Alan Ortega is a financial advisor with over 19 years of experience in the industry. He is currently registered with PHX Financial, Inc. in New York, New York. Alan has held previous positions with John Thomas Financial and Princor Financial Services Corporation. Alan is licensed to sell securities in 10 states and holds multiple securities licenses including Series 4, Series 6, Series 7, Series 24, Series 63, Series 65, and Series 79TO.

Firm Information

Alan Ortega is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alan Ortega’s Registration & Firm History

NY

12/03/2015 - Present

PHX Financial, Inc. (NEW YORK NY)

NY

11/08/2012 - 05/13/2015

PHX FINANCIAL, INC. (NEW YORK NY)

NY

10/28/2009 - 10/03/2012

JOHN THOMAS FINANCIAL (NEW YORK NY)

IA

06/22/2001 - 12/31/2004

PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)

MA

11/24/1997 - 05/09/2000

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

11/24/1997 - 05/09/2000

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/26/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/06/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/28/2020

Series 4 - Registered Options Principal Examination

BC

Issued 10/04/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/27/2009

Series 7 - General Securities Representative Examination

BC

Issued 11/22/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alan Ricardo Ortega.
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