Isaac Ortiz

Current Employers

Employment History

• 12/2011 → 12/2016
  Fsc Securities Corporation
  Albuquerque, NM
• 12/2016 → 12/2022
  Scf Securities, Inc.
  Fresno, CA
• 12/2016 → 12/2022
  Scf Investment Advisors, Inc.
  Fresno, CA
• 12/2022 → Present
  Dai Securities, Llc
  Atlanta, GA
• 12/2022 → Present
  Dai Wealth, Llc
  Atlanta, GA

Previous Registrations

• 2016-12-19 → 2022-12-22
  Scf Investment Advisors, Inc.
  Albuquerque, NM
  San Diego, CA
  Edmond, OK
• 2012-01-04 → 2016-12-22
  Fsc Securities Corporation
  Rio Rancho, NM
  Atlanta, GA
  Atlanta, GA
  Albuquerque, NM
• 2006-03-06 → 2011-12-23
  New England Securities
  Albuquerque, NM
  Albuquerque, NM

Other Businesses

Creative Financial Strategies LLC (CFS) - Ins solutions Business - practices the placement of Risk Management Strategies through CFS - CFS is licensed Agency in NM - RR engages in both basic & advanced Estate & Business Planning strategies which require illustration & implementation of Risk Management solutions - RR is independent & holds no corporate affiliation for any ins company - RR is licensed with many ins companies for the Design & implementation of basic & advanced ins company solutions - may include Term ins, ROP term ins, UL Ins, GUL Ins, Joint & Survivor Ins, VUL ins, whole life ins, fixed annuities, variable annuities & EIA - These solutions are used based on the individual client circumstance - RR is paid either an annual or a front loaded single commission, compensation depends on the product structure - Should a conflict of interest arise, full disclosure is offered by the RR so the client may make informed decision for the implementation of these solutions; Creative Financial Strategies LLC (CFS) - IAR - FA discloses that through CFS he has Investment Advisory business - This is through Corporate RIA, SCF Investment Advisors, Inc - This business does not infer that FA or CFS is a custodian - This is often done in conjunction with comprehensive planning - This business is wholly fee based & includes the analysis of portfolios & the review of client objectives - also includes the analysis of non-custodian accounts - The philosophical understanding as well as insuring that a shared view on active or passive investment management is imperative to this relationship - The FA is a Fiduciary in this capacity & will disclose any conflict of interest that may arise out of the other areas of business that they may be supporting the client in; Creative Financial Strategies LLC (CFS) - Fee Based Financial Planning - engages in modular & comprehensive Financial Planning, as well as Business planning consultation, This is done through CFSLLC, as part of the Affiliation with the RIA SCF Investment Advisors Inc - This business is complex in nature, is always the FEE model, with the fee determined by complexity & Net worth in tandem - The nature of the planning, either Personal or Business dictates what the fee will be as well as the billing of said fees - It is expected that for comprehensive planning, billing will occur with 50% of the fee at Planner engagement & the remaining 50% due at delivery of the written document - Planning relationship is an engagement of 12 months - In the case of advanced personal & business planning the fee will in all cases be disclosed & agreed upon in advance of work being done - All financial plans created in the Firm (CFS) will be reviewed by the CFP® certificant in the office to affirm that the CFP board of Standards are being adhered to - In conjunction, the planner will never provide product specific solutions or strategies within the context of a plan - Conflicts of interest will always be disclosed & the Planner always operates in capacity of a fiduciary for the advice given - business consultation is traditionally done after a comprehensive planning relationship has been engaged & effective starting in year two of the professional relationship - The fee model & meeting expectations can be amended from time to time, Client will acknowledge this communication via a signed acknowledgment prior to engagement with the Planner for Planner services; SCF Investment Advisors - investment advisor rep; BRICKS & BLOCKS GALAXY LLC - 6301 INDIAN SCHOOL RD NE STE 609, ALBUQUERQUE NM 87110 - NON INVESTMENT RELATED - PROPRIETOR - START 02/2021 - COLLECTIBLE TOYS PICKED UP BY THIRD PARTY, SOLD ONLINE THROUGH AMAZON/WALMART/TARGET;

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-02-21
• S63 Uniform Securities Agent State Law Examination
  2003-04-14

Designations

Other Names

• Isaac J Ortiz