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Detailed Report
JUAN MANUEL ORTEGA JR
JUAN ORTEGA JR.
CRD#: 2302430
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 520 CRANDON BLVD
KEY BISCAYNE, FL 33149
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 520 CRANDON BLVD
KEY BISCAYNE, FL 33149
Registration History
19952000200520102015202020252 FIRMS2001 - 2005 (4 years)IATRUIST ADVISORY SERVICES, INC. (CRD# 283390)2016 - Present (8 years)BTRUIST INVESTMENT SERVICES, INC. (CRD# 17499)2005 - Present (19 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)1997 - 2005 (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 1997 (3 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1994 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1993 - 1993 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2005 - 2016 (11 years)
Disclosure(s)
View By:
8/11/2004
Customer Dispute
Dismissed
3/26/2001
Customer Dispute
Settled
License(s)

State Registrations

B
California 10/31/2022
B
North Carolina 1/18/2019
B
Florida 9/14/2005
B
Puerto Rico 3/4/2010
IA
Florida 8/18/2016
B
South Carolina 12/18/2024
B
Georgia 3/25/2024
B
Texas 5/14/2019
B
Indiana 12/4/2024
IA
Texas 1/24/2023
B
New Jersey 7/22/2011
B
Virginia 4/25/2022
B
New Mexico 7/22/2011

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
520 CRANDON BLVD, KEY BISCAYNE, FL 33149
Registered with this firm since 8/18/2016
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
520 CRANDON BLVD, KEY BISCAYNE, FL 33149
15700 SW 56TH ST, MIAMI, FL 33185
Registered with this firm since 8/30/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/02/2005 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) MIAMI, FL
IA
 08/08/2001 - 07/07/2005 NORTHERN TRUST SECURITIES, INC (CRD#:7927) MIAMI, FL
B
 05/31/2001 - 07/07/2005 VISION INVESTMENT SERVICES, INC. (CRD#:46609) ROSEMONT, IL
B
 09/02/1997 - 07/07/2005 NORTHERN TRUST SECURITIES, INC. (CRD#:7927) CHICAGO, IL
B
 08/10/1994 - 09/15/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 07/31/1993 - 08/26/1994 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 01/18/1993 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.