Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Ortiz is a financial advisor with over 15 years of experience in the financial services industry. Alex is currently registered with UBS Financial Services Inc. and is licensed to conduct business in New York. Alex has previously held positions with Fidelity Brokerage Services LLC, Wells Fargo Advisors, LLC, and J.P. Morgan Securities LLC. Alex holds the Series 6, 7, 9, 10 and 63 licenses as well as the SIE exam. Alex is a Certified Financial Planner (CFP®) and specializes in portfolio management for individuals and businesses, financial planning, pension consulting and educational seminars. Alex is also active in the community and is involved in various charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
01/29/2024 - Present
UBS Financial Services Inc. (New York NY)
NY
09/08/2016 - 01/23/2024
FIDELITY BROKERAGE SERVICES LLC (SCARSDALE NY)
NY
10/27/2014 - 08/18/2016
WELLS FARGO ADVISORS, LLC (PLEASANTVILLE NY)
NY
10/01/2012 - 10/13/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
03/31/2008 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
BC
Issued 04/08/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/28/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2016
Series 7 - General Securities Representative Examination
BC
Issued 03/28/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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