Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shad? Claim Your ProfileShad Ortiz is a financial advisor with Wells Fargo Clearing Services, LLC in Pasadena, California. Shad has been in the financial services industry since 1999. Prior to joining Wells Fargo, Shad worked at Morgan Stanley and Morgan Stanley & Co. Incorporated. Shad holds the Series 7, Series 63, and Series 65 licenses. Shad provides investment consulting services to institutional clients, as well as financial planning, pension consulting, and portfolio management services to individuals and businesses.
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
CA
07/31/2014 - Present
Wells Fargo Clearing Services, LLC (PASADENA CA)
CA
06/01/2009 - 08/11/2014
MORGAN STANLEY (PASADENA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (GLENDALE CA)
CA
05/13/1999 - 04/02/2007
MORGAN STANLEY DW INC. (GLENDALE CA)
IA
Issued 06/15/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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