Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Anthony Ortega is a financial advisor who has been in the industry since October 2002. Richard is registered with Raymond James & Associates, Inc. and holds Series 7, 63 and 65 licenses. Richard has worked with Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, and Raymond James & Associates, Inc. during his career. Richard provides financial planning and portfolio management services to individuals and businesses. Richard's primary office location is in Albuquerque, NM.
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.
Please see note in schedule d - miscellaneous
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
NM
02/02/2024 - Present
Raymond James & Associates, Inc. (Albuquerque NM)
NM
01/03/2011 - 10/13/2020
WELLS FARGO CLEARING SERVICES, LLC (ALBUQUERQUE NM)
NM
10/29/2002 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BELEN NM)
IA
Issued 06/30/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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