Steven Ortega

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 05/2013 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2009-03-06 → 2013-05-20
  Westport Resources Management Inc
  Westport, CT
• 2004-10-20 → 2009-03-09
  Banc Of America Investment Services, Inc.
  Darien, CT
  Stamford, CT
  Stamford, CT
  Stamford, CT
  West Stamford, CT
  Stamford, CT
  Stamford, CT
• 2004-05-24 → 2004-10-20
  Quick & Reilly, Inc.
  Westport, CT

Other Businesses

1) GUIDELIGHT FINANCIAL, 50 WASHINGTON STREET NORWALK CT 06854, 08/2011, TRADE NAMDE/DBA, INDPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 2 HR/MO 0 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA 52556, 05/2013, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO 120 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-06-04
• S63 Uniform Securities Agent State Law Examination
  1987-09-08