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GUARIONEX ORTIZ
AL ORITZ, AL ORTIZ, ALBERT GUARIONEX ORTIZ JR, G ALBERT ORTIZ, G ALGERT ORTIZ…
CRD#: 2510067
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 MELLON BANK CTR.
1735 MARKET STREET, 44th Floor
PHILADELPHIA, PA 19103
Registration History
19952000200520102015202020252 FIRMS2024 - Present (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - 2024 (22 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2000 - 2002 (1 year)BCARLIN EQUITIES CORP. (CRD# 31295)1998 - 2000 (1 year)BDALTON KENT SECURITIES GROUP, INC. (CRD# 38813)1997 - 1997 (<1 year)BDUKE & CO., INC. (CRD# 8035)1996 - 1997 (<1 year)BBISHOP, ALLEN, INC. (CRD# 2060)1996 - 1996 (<1 year)BDUKE & CO., INC. (CRD# 8035)1995 - 1996 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2024 (14 years)
License(s)

State Registrations

B
Arizona 5/31/2024

B
New Jersey 5/31/2024

B
California 5/31/2024

B
New York 5/31/2024

B
Connecticut 5/31/2024

IA
New York 5/31/2024

B
Florida 5/31/2024

B
North Carolina 5/31/2024

B
Georgia 5/31/2024

B
Ohio 5/31/2024

B
Illinois 5/31/2024

B
Pennsylvania 5/31/2024

B
Indiana 5/31/2024

B
Tennessee 7/5/2024

B
Kentucky 5/31/2024

B
Texas 5/31/2024

B
Maryland 5/31/2024

IA
Texas 5/31/2024

B
Massachusetts 5/31/2024

B
Virginia 5/31/2024

B
Nevada 5/31/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
MELLON BANK CTR. 1735 MARKET STREET, 44th Floor, PHILADELPHIA, PA 19103
Registered with this firm since 5/31/2024

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
MELLON BANK CTR. 1735 MARKET STREET, 44th Floor, PHILADELPHIA, PA 19103
Registered with this firm since 5/31/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/15/2009 - 06/03/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
11/20/2001 - 06/03/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
09/25/2000 - 01/23/2002 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
11/02/1998 - 08/22/2000 CARLIN EQUITIES CORP. (CRD#:31295) NEW YORK, NY
B
05/01/1997 - 10/27/1997 DALTON KENT SECURITIES GROUP, INC. (CRD#:38813) NEW YORK, NY
B
10/15/1996 - 04/22/1997 DUKE & CO., INC. (CRD#:8035) NEW YORK, NY
B
04/09/1996 - 10/04/1996 BISHOP, ALLEN, INC. (CRD#:2060) NEW YORK, NY
B
02/24/1995 - 04/08/1996 DUKE & CO., INC. (CRD#:8035) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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