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Michael J Ortiz

United Capital Financial Advisors

Charlotte, NC

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Current Employers
United Capital Financial Advisors

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-01-09
  • NC RA
    APPROVED
    Since 2023-01-09

Branch Locations

831 E Morehead St Ste 350, Charlotte, NC 28202 • 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
The Ayco Company, L.P. Albany NY 09/2018 01/2023
Bentley University Waltham MA 09/2014 05/2018
Foresters Financial Latham NY 06/2017 08/2017
Mingos Moving & Delivery Amsterdam NY 05/2018 09/2018
Mingos Moving & Delivery Amsterdam NY 05/2017 08/2017
Goldman Sachs & Co. Llc Cohoes NY 01/2021 11/2023
United Capital Financial Advisors Irving TX 01/2023 Present
Mercer Allied Albany NY 11/2019 01/2021
  • 09/2018 → 01/2023
    The Ayco Company, L.P.
    Albany, NY
  • 09/2014 → 05/2018
    Bentley University
    Waltham, MA
  • 06/2017 → 08/2017
    Foresters Financial
    Latham, NY
  • 05/2018 → 09/2018
    Mingos Moving & Delivery
    Amsterdam, NY
  • 05/2017 → 08/2017
    Mingos Moving & Delivery
    Amsterdam, NY
  • 01/2021 → 11/2023
    Goldman Sachs & Co. Llc
    Cohoes, NY
  • 01/2023 → Present
    United Capital Financial Advisors
    Irving, TX
  • 11/2019 → 01/2021
    Mercer Allied
    Albany, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-03-06
S65 Uniform Investment Adviser Law Examination 2019-02-15
  • S63 Uniform Securities Agent State Law Examination
    2020-03-06
  • S65 Uniform Investment Adviser Law Examination
    2019-02-15
Designations
Other Names
  • Michael James Ortiz

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

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