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Wilfred Cortez

Spc
40 Years of Experience
Slidell, LA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Wilfred Cortez is a registered investment advisor at Spc, based in Slidell, LA, with 40 years of industry experience. Wilfred is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 30,916 clients with $6.1B in assets under management.

Spc
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
474 advisors
Number of Clients
30,916 clients
Average Client Portfolio
$197K average
Assets Under Management
$6.1B

Fee Structure

Minimum Investment:$5.5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum annual advisory fee is 2.50%. Advisors set their own rates for each account up to this maximum limit. A 0.15% program fee is included within the total fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Slidell, LA

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2018
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Wilfred is involved with Will Cortez Insurance Agency, Inc., selling life, health, cancer, and Medicare supplement insurance. This activity requires minimal time.

Employment History
Current Registrations
Spc
August 2002 - Present · 24 yrs 2 mos
Parkland Securities, LLCBroker
February 2002 - Present · 24 yrs 8 mos
Previous Registrations
Walnut Street Securities, INC.Broker
August 2000 - February 2002 · 1 yr 6 mos
Fortis Investors, INC.Broker
February 1993 - August 2000 · 7 yrs 6 mos
North American Management, INC.Broker
October 1989 - February 1993 · 3 yrs 4 mos
Mony Securities CORP.Broker
October 1985 - October 1989 · 4 yrs
State Registrations9 states
ALCAFLGALAMSNYTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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