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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-02-02 |
| NM | RA | APPROVED | 2020-10-08 |
Branch Locations
6565 Americas Pkwy Ne Suite 310, Albuquerque, NM 87110 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Albuquerque | NM | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Albuquerque | NM | 11/2016 | 10/2020 |
| Raymond James & Associates, Inc. | Albuquerque | NM | 10/2020 | Present |
(1)Name of Business: Butter Brother Productions Address: 1690 Tierra Del Rio NW , Albuquerque, NM, 87107, United States Activity Type: Other Position/Title: Musician, Artist Investment Related: No Start Date: 03/24/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: 1. I make music - I would like to put my music on Streaming platforms, but I think they will pay fractions of cents based on number of streams, so technically, I can/will get paid. \n2. Some of the beats that I make, other artists are wanting to purchase\n3. I may want to create merchandise to sell (mainly T shirts or something like that. (2)Name of Business: Richard (Rick) Ortega Film Making Business Address: 1690 Tierra Del Rio NW , Albuquerque, NM, 87107, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 06/27/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Will produce films Collaborate to create stories and make films. (3)Name of Business: Richard Ortega Actor (under SAG it is Rick A. Ortega Jr.) Address: 1690 Tierra Del Rio NW , Albuquerque, NM, 87107, United States Activity Type: Other Position/Title: Other, Artist Investment Related: No Start Date: 02/22/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Actor- I am a Screen Actors Guild Member- I usually audition for Television or Movie roles that I am called for, and hope to earn the job.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-27 |
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