Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
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.
< Back to Results
Detailed Report
JAMES ANTHONY ORTEGA
James A Ortega, James Ortega
CRD#: 6629544
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 212 COIT RD
PLANO, TX 75075
Registration History
20172018201920202021202220232024202520263 FIRMS2017 - 2017 (<1 year)2 FIRMS2018 - 2022 (4 years)2 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2017 - 2018 (<1 year)
License(s)

State Registrations

B
Arizona 4/3/2024
B
Texas 4/3/2024
B
North Carolina 12/5/2024
IA
Texas 4/3/2024
B
Oklahoma 9/13/2024

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
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
WELLS FARGO ADVISORS (CRD#:19616)
212 COIT RD, PLANO, TX 75075
2851 S RIDGE RD, MCKINNEY, TX 75072
Registered with this firm since 4/3/2024
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
212 COIT RD, PLANO, TX 75075
2851 S RIDGE RD, MCKINNEY, TX 75072
Registered with this firm since 4/3/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/22/2022 - 04/08/2024 PNC INVESTMENTS (CRD#:129052) MURPHY, TX
B
 11/22/2022 - 04/08/2024 PNC INVESTMENTS (CRD#:129052) MURPHY, TX
IA
 08/10/2018 - 11/11/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) PLANO, TX
B
 08/10/2018 - 11/11/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) PLANO, TX
B
 11/21/2017 - 07/31/2018 NYLIFE SECURITIES LLC (CRD#:5167) FRISCO, TX
IA
 09/06/2017 - 11/09/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) DALLAS, TX
B
 08/24/2017 - 11/09/2017 MML INVESTORS SERVICES, LLC (CRD#:10409) DALLAS, TX
B
 04/19/2017 - 09/12/2017 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) DALLAS, 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.