Former Fresno financial advisor Steven Hirata (CRD# 1188927) was recently sanctioned by the Financial Industry Regulatory Authority for allegedly refusing...Read More
Christopher Ortiz: Ex-National Securities Advisor Has 350K Complaint
Christopher Ortiz (CRD# 2858626), a financial advisor based in Melville, New York, has received an investor complaint alleging his recommendations led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and investment advisor with Arete Wealth, having previously been registered with National Securities Corporation.
Mr. Ortiz’s BrokerCheck report discloses one investor complaint against him. Filed in June 2020, the complaint alleged that as a representative of National Securities Corporation, he recommended an unsuitable private placement. The pending complaint alleges damages of $350,000.
According to the Financial Industry Regulatory Authority, Christopher Ortiz holds 24 years of securities industry experience. Based in Melville, New York, he has been a broker and an investment advisor with Arete Wealth Management and Arete Wealth Advisors, respectively, since July 2022. His past registrations include National Securities Corporation (Melville, New York; 2004-2022), Continental Broker-Dealer (Carle Place, New York; 2000-2004), Global Capital Securities Corporation (Englewood, Colorado; 1999-2001), Seaboard Securities (Florham Park, New Jersey; 1997-1998), VTR Capital (New York, New York; 1997), and the J.B. Sutton Group (Melville, New York; 1997). His credentials include the passage of seven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Combined State Law Examination, or Series 66. He holds 41 state licenses. (Information current as of August 4, 2022.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.