Christopher Michael Ortiz

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

Melville, NYCRD #2858626Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

28 yrs

States Registered

52 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 52 states

AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 10/29/2021

Series 65

Uniform Investment Adviser Law Examination

Passed 3/19/2008

Series 63

Uniform Securities Agent State Law Examination

Passed 3/20/1997

Series 4

Registered Options Principal Examination

Passed 10/27/2000

Series 24

General Securities Principal Examination

Passed 11/15/1999

Series 99TO

Operations Professional Examination

Passed 1/2/2023

Series 79TO

Investment Banking Registered Representative Examination

Passed 10/17/2022

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 3/12/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Asset tier	Annual rate
$0 - $249,000	3.00%
$250,000 - $749,999	2.50%
$750,000 - $1,499,999	2.00%
$1,500,000 - $4,999,999	1.75%
$5,000,000 and over	1.50%

Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ARETE WEALTH Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH MANAGEMENT, LLCCurrent

7/20/2022 – Melville, NY

GLOBAL CAPITAL SECURITIES CORPORATION

9/28/1999 – 1/2/2001ENGLEWOOD, CO

VTR CAPITAL, INC.

5/6/1997 – 11/19/1997NEW YORK, NY

THE J.B. SUTTON GROUP, LLC

4/2/1997 – 4/29/1997MELVILLE, NY

CONTINENTAL BROKER-DEALER CORP.

12/22/2000 – 1/29/2004CARLE PLACE, NY

SEABOARD SECURITIES, INC.

11/21/1997 – 10/9/1998FLORHAM PARK, NJ

NATIONAL SECURITIES CORPORATION

1/27/2004 – 7/21/2022MELVILLE, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Christopher Michael Ortiz has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.