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Matthew Ortiz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

Charlotte, NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2021-09-01
CA RA APPROVED 2021-03-30
  • NV RA
    APPROVED
    Since 2021-09-01
  • CA RA
    APPROVED
    Since 2021-03-30

Branch Locations

2555-2595 W Chandler Blvd Global Human Resources- The Academy, Chandler, AZ 85224 • United States

150 N College St Global Human Resources- The Academy, Charlotte, NC 28255 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Financial Engines Advisors, Llc Phoenix AZ 05/2016 12/2017
Unemployed Phoenix AZ 12/2017 04/2018
Groupon Scottsdale AZ 04/2018 02/2019
Fogo De Chao Scottsdale AZ 03/2019 01/2020
Unemployed Phoenix AZ 01/2020 05/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Henderson NV 05/2020 Present
Bank Of America, N.A. Henderson NV 10/2021 Present
  • 05/2016 → 12/2017
    Financial Engines Advisors, Llc
    Phoenix, AZ
  • 12/2017 → 04/2018
    Unemployed
    Phoenix, AZ
  • 04/2018 → 02/2019
    Groupon
    Scottsdale, AZ
  • 03/2019 → 01/2020
    Fogo De Chao
    Scottsdale, AZ
  • 01/2020 → 05/2020
    Unemployed
    Phoenix, AZ
  • 05/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Henderson, NV
  • 10/2021 → Present
    Bank Of America, N.A.
    Henderson, NV
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-26
  • S66 Uniform Combined State Law Examination
    2021-03-26
Other Names
  • Matthew Ryan Ortiz
  • Matthew R Ortiz
  • Mathew R Ortiz
  • Matt Ortiz

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC
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INDEPENDENT FINANCIAL GROUP, LLC
MEREDITH DEKKER FINANCIAL SERVICES, LLC

Other Investors

Aaron D Hyde
Kelly A Luft
ADRIENNE TERENA BORCHERS
Eric Sitton
SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
Christine Lynne Lobdell Raney

Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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