Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ortega is a financial advisor registered with Wells Fargo Clearing Services, LLC and has been in the industry since 2017. James is a Series 7 and Series 66 licensed professional, and holds a SIE designation. James provides financial and investment advice to a variety of clients, including individuals, corporations, and pension plans. James's primary focus is to provide personalized financial guidance and investment management services that help clients achieve their financial goals. Prior to joining Wells Fargo Clearing Services, LLC, James has worked for other well-known firms like J.P. Morgan Securities LLC, PNC Investments, and Lincoln Financial Advisors Corporation.
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.
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.
Investment consulting services to institutional clients
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
TX
04/03/2024 - Present
Wells Fargo Clearing Services, LLC (FORT WORTH TX)
TX
11/22/2022 - 04/08/2024
PNC INVESTMENTS (MURPHY TX)
TX
08/10/2018 - 11/11/2022
J.P. MORGAN SECURITIES LLC (PLANO TX)
TX
11/21/2017 - 07/31/2018
NYLIFE SECURITIES LLC (FRISCO TX)
TX
08/24/2017 - 11/09/2017
MML INVESTORS SERVICES, LLC (DALLAS TX)
TX
04/19/2017 - 09/12/2017
LINCOLN FINANCIAL ADVISORS CORPORATION (DALLAS TX)
BOTH
Issued 05/26/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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