Christian Horacio Ortez

Current Employers

Employment History

• 03/2018 → 01/2021
  Waddell & Reed, Inc
  Campbell, CA
• 03/2018 → 01/2021
  Various Insurance Carriers For W&R Insurance Agencies
  Campbell, CA
• 03/2010 → 03/2018
  Lpl Financial
  San Jose, CA
• 05/2019 → 01/2021
  California Private Wealth Llc
  Campbell, CA
• 09/2019 → 12/2020
  Exxel Athletic
  Campbell, CA
• 12/2020 → 02/2023
  Grit Athletic
  Campbell, CA
• 01/2021 → Present
  Lpl Financial Llc
  Campbell, CA
• 02/2021 → 07/2026
  Mariner Independent Advisor Network, Llc
  Sacramento, CA
• 03/2021 → Present
  Lpl Financial
  Campbell, CA
• 06/2026 → Present
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2021-02-08 → 2026-06-26
  Mariner Advisor Network
  Campbell, CA
  Roseville, CA
• 2018-03-09 → 2021-02-10
  Waddell & Reed
  Seattle, WA
  Campbell, CA
• 2010-03-23 → 2018-03-22
  Lpl Financial Llc
  San Jose, CA
  San Diego, CA
  San Jose, CA
• 2010-02-03 → 2010-03-23
  Chase Investment Services Corp.
  San Diego, CA
• 2009-10-23 → 2010-01-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Clara, CA
  Santa Clara, CA
  San Jose, CA
• 2006-08-01 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Santa Clara, CA
  San Jose, CA
  Santa Clara, CA
  San Francisco, CA
• 2004-10-20 → 2006-07-13
  Citigroup Global Markets Inc.
  San Jose, CA
  San Jose, CA

Other Businesses

1. 02/05/2021; Investment products and services are offered through LPL Financial LLC using the DBA/trade name California Private Wealth /; Investment Related; at Reported Business Location(s); Start Date 01/22/2021; hrs/mth; hrs during trading 2. 02/05/2021; Non-Variable Insurance; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 01/22/2021; 8hrs/mth; 1hrs during trading 3. 04/17/2023; Axes Ventures LLC; Real Estate Rental; Investment Related; San Jose,CA; Start Date 03/30/2023; 2hrs/mth; 0hrs during trading 4. 05/15/2023; Saxe Insurance Services Inc; Insurance Agency; Investment Related; Roseville,CA; Start Date 04/25/2023; 8hrs/mth; 0hrs during trading 5. 09/14/2023; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Saxe Capital; Investment Related; at Reported Business Location(s); Start Date 09/08/2023; 160hrs/mth; 8hrs during trading 6. 06/21/2024; Saxe Consulting LLC; Tax Prep/Accounting/CPA; Investment Related; Roseville,CA; Start Date 05/20/2024; 12hrs/mth; 0hrs during trading 7. 11/07/2024; Saxe Consulting LLC; Other - Business Coaching; Not Investment Related; at Reported Business Location(s); Start Date 09/09/2024; 8hrs/mth; 0hrs during trading 8. 05/06/2026; Christian Ortez Media; Business Owner; Not Investment Related; Roseville,CA; Start Date 05/05/2026; 12hrs/mth; 0hrs during trading 9. 05/18/2026; Saxe Corporation; Other; Not Investment Related; at Reported Business Location(s); Start Date 05/15/2026; 0hrs/mth; 0hrs during trading 10. 07/06/2026 - Private Advisor Group - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - 160 hours per month/ during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 05/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-10-19
• S63 Uniform Securities Agent State Law Examination
  2004-05-28