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Detailed Report
GEHRIN MICHAEL ORTIZ
CRD#: 5533216
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200820092010201120122013201420152016IAHSBC SECURITIES (USA) INC. (CRD# 19585)2012 - 2014 (1 year)IALAUREL WEALTH ADVISORS, INC. (CRD# 157139)2012 - 2013 (<1 year)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2010 - 2012 (2 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2010 (1 year)
Disclosure(s)
View By:
8/6/2015
Regulatory
Final
3/26/2014
Regulatory
Final
Previous Registration(s)
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 11/07/2012 - 04/21/2014 HSBC SECURITIES (USA) INC. (CRD#:19585) PASADENA, CA
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 05/16/2012 - 02/12/2013 LAUREL WEALTH ADVISORS, INC. (CRD#:157139) FALLBROOK, CA
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 03/16/2010 - 06/14/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) WOODLAND HILLS, CA
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 07/28/2008 - 03/15/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) WESTLAKE VILLAGE, CA
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.
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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.