Christopher Ortiz (CRD #: 2858628), a broker with National Securities Corporation and a registered investment adviser with National Asset Management, Inc, is facing client allegations regarding unsuitable investment recommendations, according to his BrokerCheck record, accessed on August 26, 2020.
On July 1, 2020, a client alleged unsuitable investment recommendations. The client is seeking $350,000; the dispute is pending.
On February 10, 2020, a client alleged unsuitable investment recommendations. The client is seeking $265,000; the dispute is pending.
Christopher Ortiz has passed the Series 65 Uniform Investment Adviser Law Examination, Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, the Series 4 Registered Options Principal Examination, and the Series 24 General Securities Principal Examination.
Mr. Ortiz is a registered in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, D.C., Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, Wyoming.
During his career, Christopher Ortiz has worked at the following firms:
- Continental Broker-Dealer (CRD #: 14048)
- Global Capital Securities Corporation (CRD #: 16184)
- Seaboard Securities Inc (CRD #: 755)
- VTR Capital Inc (CRD #: 21404)
- The JB Sutton Group LLC (CRD #: 16191)
If Christopher Ortiz was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.