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Detailed Report
PAOLA ORTIZ
CRD#: 3028588
IA
Investment Adviser
B
Broker
PNC INVESTMENTSCRD#: 129052 2200 Post Oak Blvd,
17th Floor
Houston, TX 77056
Registration History
199820002002200420062008201020122014201620182020202220242026IAPNC INVESTMENTS (CRD# 129052)2023 - Present (1 year)BPNC INVESTMENTS (CRD# 129052)2021 - Present (3 years)BBBVA SECURITIES INC. (CRD# 27060)2013 - 2021 (8 years)BBBVA COMPASS INVESTMENT SOLUTI... (CRD# 17086)2009 - 2013 (3 years)BBBVA INVESTMENTS INC. (CRD# 31769)2007 - 2009 (1 year)BBBVA INVESTMENTS INC. (CRD# 31769)2006 - 2006 (<1 year)BBBVA BANCOMER SECURITIES INTER... (CRD# 31769)1998 - 2004 (6 years)IAPNC MANAGED ACCOUNT SOLUTIONS,... (CRD# 110476)2022 - 2023 (1 year)IAPNC MANAGED ACCOUNT SOLUTIONS,... (CRD# 110476)2021 - 2021 (<1 year)IAPNC MANAGED ACCOUNT SOLUTIONS,... (CRD# 110476)2012 - 2021 (9 years)
Disclosure(s)
View By:
11/15/2021
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
California 9/17/2021
IA
Texas 11/30/2023
B
Texas 9/17/2021

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
PNC INVESTMENTS (CRD#:129052)
2200 Post Oak Blvd, 17th Floor, Houston, TX 77056
Registered with this firm since 11/30/2023
B
PNC INVESTMENTS (CRD#:129052)
2200 Post Oak Blvd, 17th Floor, Houston, TX 77056
Registered with this firm since 9/17/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/13/2022 - 11/30/2023 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) Houston, TX
IA
 09/21/2021 - 12/31/2021 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) Houston, TX
IA
 04/04/2012 - 09/20/2021 PNC MANAGED ACCOUNT SOLUTIONS, INC. (CRD#:110476) HOUSTON, TX
B
 05/16/2013 - 09/17/2021 BBVA SECURITIES INC. (CRD#:27060) HOUSTON, TX
B
 06/30/2009 - 05/16/2013 BBVA COMPASS INVESTMENT SOLUTIONS, INC (CRD#:17086) HOUSTON, TX
B
 11/14/2007 - 07/01/2009 BBVA INVESTMENTS INC. (CRD#:31769) HOUSTON, TX
B
 08/02/2006 - 09/20/2006 BBVA INVESTMENTS INC. (CRD#:31769) HOUSTON, TX
B
 04/09/1998 - 09/24/2004 BBVA BANCOMER SECURITIES INTERNATIONAL, INC. (CRD#:31769) HOUSTON, TX
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.