Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diana? Claim Your ProfileDiana Ortiz is a financial advisor at Raymond James Financial Services Advisors, Inc. Diana is a seasoned professional with over 30 years of experience in the financial services industry. Diana is dedicated to providing personalized financial advice to individuals, families, and businesses. Diana holds Series 6, 7, 62, 63, 65, 66, and 72 licenses and has a deep understanding of the financial markets and investment strategies. Diana is committed to building long-term relationships with her clients and helping them achieve their financial goals.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
WA
10/19/2023 - Present
Raymond James Financial Services Advisors, Inc. (Gig Harbor WA)
WA
02/02/2022 - 10/18/2023
CETERA INVESTMENT SERVICES LLC (TACOMA WA)
WA
01/03/2006 - 02/04/2022
KEY INVESTMENT SERVICES LLC (Gig Harbor WA)
OH
03/20/2002 - 12/31/2005
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
WA
09/18/2001 - 03/20/2002
METROPOLITAN INVESTMENT SECURITIES, INC. (SPOKANE WA)
NJ
07/26/2001 - 09/20/2001
FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)
WA
10/01/1999 - 07/24/2001
METROPOLITAN INVESTMENT SECURITIES, INC. (SPOKANE WA)
NY
11/20/1998 - 11/15/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
OH
12/09/1996 - 11/01/1998
KEY INVESTMENTS INC. (CLEVELAND OH)
CA
08/19/1996 - 12/13/1996
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
10/05/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
07/24/1992 - 11/15/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
IA
11/19/1990 - 06/12/1992
MIDAMERICA MANAGEMENT CORPORATION (CEDAR RAPIDS IA)
BOTH
Issued 8/26/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 8/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/6/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 72 - Government Securities Representative Examination
BC
Issued 1/2/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/19/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/16/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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