Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
MARCUS EUGENE ORTEGA
MARC E ORTEGA, MARCUS E ORTEGA
CRD#: 2526020
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 7025 N SCOTTSDALE RD #115
SCOTTSDALE, AZ 85253
SCOTTSDALE, AZ 85253
CETERA ADVISORS LLCCRD#: 10299 7025 N SCOTTSDALE RD #115
SCOTTSDALE, AZ 85253
SCOTTSDALE, AZ 85253
View By:
12/3/2002
Customer Dispute
Denied
State Registrations
B
Alabama 10/28/2020
B
Nevada 10/28/2020
B
Arizona 10/28/2020
B
New Hampshire 8/8/2022
IA
Arizona 3/21/2024
B
New Mexico 10/28/2020
B
California 10/28/2020
B
New York 10/28/2020
B
Colorado 10/28/2020
B
North Carolina 11/9/2020
B
Connecticut 10/28/2020
B
Ohio 10/28/2020
B
Florida 1/4/2022
B
Oklahoma 3/14/2022
B
Georgia 10/28/2020
B
Oregon 10/28/2020
B
Hawaii 8/8/2022
B
Pennsylvania 10/28/2020
B
Idaho 10/28/2020
B
South Carolina 8/22/2023
B
Illinois 10/28/2020
B
Tennessee 10/28/2020
B
Indiana 10/28/2020
B
Texas 10/28/2020
B
Iowa 10/28/2020
IA
Texas 3/21/2024
B
Maryland 1/10/2025
B
Utah 10/28/2020
B
Massachusetts 10/28/2020
B
Vermont 10/16/2024
B
Michigan 10/28/2020
B
Virginia 10/10/2022
B
Minnesota 10/28/2020
B
Washington 11/2/2020
B
Mississippi 11/18/2022
B
West Virginia 4/4/2022
B
Montana 10/28/2020
B
Wisconsin 10/28/2020
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 10/28/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/2020 - 03/21/2024 | Tempe, AZ | |
IA | 01/22/2008 - 10/30/2020 | TEMPE, AZ | |
B | 01/11/2008 - 10/30/2020 | TEMPE, AZ | |
IA | 11/06/1996 - 01/18/2008 | MINNEAPOLIS, MN | |
IA | 07/30/2007 - 01/16/2008 | PHOENIX, AZ | |
B | 08/31/1994 - 01/16/2008 | PHOENIX, AZ | |
B | 08/31/1994 - 01/16/2008 | PHOENIX, AZ | |
IA | 07/30/2007 - 12/31/2007 | PHOENIX, AZ |
MINNEAPOLIS, MN
11/06/1996 - 01/18/2008
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.