Cesar CortesCRD Number: 5596243
Current Firm: Western International Securities
Cesar Cortes (CRD# 5596243) is an Investment Advisor Representative working at Western International Securities in Bridgeport, CT and has over 8 years of experience in the finance industry.
Scholtz & Co
Axa Advisors, LLC
Abbondandolo Wealth Management Corp
|Western International Securities, Inc.||Pasadena, CA||Feb 2013 - Current||3|
|Metlife Securities Inc.||Shelton, CT||Sep 2008 - Feb 2013||4|
|Catamount Management Group||Westport, CT||Feb 2007 - Sep 2008||1|
|Bionate||San Juan, PR||Sep 2001 - Sep 2008||7|
|Citizens Union Committee||Bridgeport, CT||Jan 2006 - Jan 2008||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 2008|
|S65||NASAA Investment Advisors Law Examination||Nov 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management900MILLIONS
Total Number of Accounts3,400ACCOUNTS
Average Account Value$264,706
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, LA, MA, MD, ME, MI, MN, MO, MT, NC, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, TN, TX, UT, VA, WA, WI
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