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HIRAM ANTONIO CORTES
Hiram A Cortes
CRD#: 3213587
IA
Investment Adviser
B
Broker
OPPENHEIMER & CO. INC.CRD#: 249 711 LOUISIANA STREET
15TH FLOOR
HOUSTON, TX 77002
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2014 - 2019 (5 years)2 FIRMS2019 - Present (5 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2011 - 2014 (2 years)BCITI INTERNATIONAL FINANCIAL S... (CRD# 17053)2006 - 2010 (4 years)BASSENT LLC (CRD# 104162)2005 - 2006 (<1 year)BMERCATOR ASSOCIATES, LLC (CRD# 112903)2005 - 2005 (<1 year)BE*TRADE PROFESSIONAL TRADING, LLC (CRD# 39293)2003 - 2003 (<1 year)BNETGAIN TRADING, LLC (CRD# 114838)2002 - 2003 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2000 (<1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2012 - 2014 (2 years)
Disclosure(s)
View By:
11/21/2014
Customer Dispute
Settled
11/17/2014
Customer Dispute
Settled
License(s)

State Registrations

B
California 12/19/2023

B
North Carolina 2/11/2022

B
Delaware 2/10/2023

B
South Dakota 8/26/2024

B
Florida 8/27/2024

B
Texas 9/20/2019

B
Illinois 7/26/2023

IA
Texas 9/23/2019

B
Nevada 12/26/2023

B
Wyoming 8/26/2024

B
New York 2/2/2023

SRO Registrations

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
OPPENHEIMER & CO. INC. (CRD#:249)
711 LOUISIANA STREET 15TH FLOOR, HOUSTON, TX 77002
HOUSTON, TX
Registered with this firm since 9/23/2019

B
OPPENHEIMER & CO. INC. (CRD#:249)
711 LOUISIANA STREET 15TH FLOOR, HOUSTON, TX 77002
HOUSTON, TX
Registered with this firm since 9/20/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/19/2014 - 09/23/2019 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
09/19/2014 - 09/23/2019 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
IA
04/17/2012 - 09/26/2014 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
11/11/2011 - 09/26/2014 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
07/24/2006 - 08/06/2010 CITI INTERNATIONAL FINANCIAL SERVICES LLC (CRD#:17053) GUAYNABO, PR
B
12/19/2005 - 07/18/2006 ASSENT LLC (CRD#:104162) BOLINGBROOK, IL
B
11/09/2005 - 12/09/2005 MERCATOR ASSOCIATES, LLC (CRD#:112903)
FINRA expelled the firm on 01/27/2016
TORONTO
B
02/26/2003 - 12/19/2003 E*TRADE PROFESSIONAL TRADING, LLC (CRD#:39293) NEW YORK, NY
B
06/28/2002 - 02/28/2003 NETGAIN TRADING, LLC (CRD#:114838) MIAMI, FL
B
06/02/1999 - 02/16/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Broker
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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.