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Daniel Ortega

B. Riley Wealth Management

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About Daniel Ortega

Daniel Ortega is a financial advisor at B. Riley Wealth Management, a firm that provides wealth management services to individuals and families. Daniel has been in the financial services industry since 1999 and has a broad range of experience in investments, retirement planning, and estate planning. Daniel holds the Series 7, Series 24, Series 63, Series 79 and Series 99 securities licenses. Daniel is registered to offer securities in all 50 states.

Firm Information

Daniel Ortega is currently registered with B. Riley Wealth Management. B. Riley Wealth Management is a Corporation formed on January 10, 1992. 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.

Not reported

Assets Under Management

Not reported

Total Clients

130

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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Daniel Ortega’s Registration & Firm History

FL

03/15/2021 - Present

B. Riley Wealth Management (Boca Raton FL)

FL

04/29/2010 - 07/22/2022

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

FL

02/03/2003 - 04/12/2010

GUNNALLEN FINANCIAL, INC (TAMPA FL)

NJ

05/29/2001 - 02/05/2003

FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)

GA

05/23/2000 - 06/19/2001

J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)

TX

10/05/1999 - 05/31/2000

INSTITUTIONAL EQUITY CORPORATION (DALLAS TX)

NY

01/01/1999 - 11/05/1999

CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)

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Licenses & Designations

BC

Issued 01/25/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/21/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Daniel Ortega. Review regulatory record here.
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