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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Fatima? Claim Your ProfileFatima E Sosa Ortiz is a financial advisor who has been active in the financial industry for over 3 years. Fatima E Sosa Ortiz is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in the states of California and Texas. Fatima E Sosa Ortiz is also registered as an Investment Advisor Representative in California and Texas. Fatima E Sosa Ortiz has passed the Series 7TO, Series 66, and Series 63 exams. Previously Fatima E Sosa Ortiz was registered with J.P. Morgan Securities LLC in California. Fatima E Sosa Ortiz holds a number of professional designations and is a member of several industry organizations. Fatima E Sosa Ortiz is committed to providing her clients with personalized financial advice and guidance to help them achieve their financial goals. Fatima E Sosa Ortiz has extensive experience in a number of areas, including investment management, financial planning, and retirement planning. Fatima E Sosa Ortiz's clients include individuals, families, and businesses. Fatima E Sosa Ortiz is a valuable resource for anyone seeking financial advice.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
07/15/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPA CA)
CA
02/24/2021 - 07/09/2022
J.P. MORGAN SECURITIES LLC (Saint Helena CA)
BOTH
Issued 06/20/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/11/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2023
Series 7TO - General Securities Representative Examination
BC
Issued 02/24/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/09/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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