Stephen Ortiz, financial advisor New Milford CT

Stephen Ortiz

CRD Number: 6365661
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stephen Ortiz (CRD# 6365661) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in New Milford, CT and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Danbury, CT Aug 2018 - Current 3
Bank Of America, N.a. Danbury, CT Aug 2018 - Current 3
Municipal Credit Union New York, NY Oct 2014 - Aug 2018 3
Mcadam LLC Jersey City, NJ May 2017 - May 2017 < 1
Metropolitan College Of Ny New York, NY Sep 2015 - Apr 2017 1
Lord & Taylor Scarsdale, NY Oct 2014 - Apr 2015 < 1
The Mark Hotel New York, NY Sep 2014 - Sep 2014 < 1
Unemployed New York, NY Jul 2014 - Sep 2014 < 1
University Of Buffalo Buffalo, NY Aug 2010 - May 2014 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2018
Contact Info for Stephen M. Ortiz
Phone Number: 800-637-7455
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    1,084,544
    MILLIONS
  • Total Number of Accounts
    2,605,171
    ACCOUNTS
  • Average Account Value
    $416,304
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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