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Scott Alan Ortiz

LPl Financial LLC

Tempe, AZ

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-09
AZ RA APPROVED 2026-07-02
  • TX RA
    APPROVED
    Since 2026-07-09
  • AZ RA
    APPROVED
    Since 2026-07-02

Branch Locations

500 E Rio Salado Pkwy Bldg 4 3 Fl, Tempe, AZ 85281 • 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
Voya Financial Chandler AZ 12/2019 04/2024
Massmututal Phoenix AZ 07/2014 12/2019
N/A San Tan Valley AZ 04/2024 07/2024
Lpl Financial Llc Tempe AZ 08/2024 Present
  • 12/2019 → 04/2024
    Voya Financial
    Chandler, AZ
  • 07/2014 → 12/2019
    Massmututal
    Phoenix, AZ
  • 04/2024 → 07/2024
    N/A
    San Tan Valley, AZ
  • 08/2024 → Present
    Lpl Financial Llc
    Tempe, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-07-02
S63 Uniform Securities Agent State Law Examination 2026-03-02
  • S65 Uniform Investment Adviser Law Examination
    2026-07-02
  • S63 Uniform Securities Agent State Law Examination
    2026-03-02
Other Names
  • Scott Ortiz

View on SEC IAPD

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OLIVE STREET INVESTMENT ADVISERS, LLC · ST. LOUIS, MO
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U.S. BANCORP ADVISORS, LLC · Des Peres, MO
LPL FINANCIAL LLC · DES PERES, MO
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ATROPOS CAPITAL MANAGEMENT, LLC · ST. LOUIS, MO
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