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Steven Ortega is a registered investment advisor, based in Norwalk, CT, with 35 years of industry experience.
Location
50 Washington St., 4th Floor, Norwalk, CT, 06854
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Regulatory History (1)
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Customer Dispute
May 2025Pending
Other Business ActivitiesSells Insurance
Steven is an independent insurance agent for various independent insurance companies, dedicating minimal time to this activity. He also works nearly full-time as an advisory representative of a Registered Investment Advisor (RIA).
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
May 2013 - Present · 13 yrs
Cambridge Investment Research Advisors, INC.
May 2013 - Present · 13 yrs
Previous Registrations
Westport Resources Management INC
March 2009 - May 2013 · 4 yrs 2 mos
Westport Resources Investment Services, INC.Broker
March 2009 - May 2013 · 4 yrs 2 mos
Banc of America Investment Services, INC.Broker
October 2004 - March 2009 · 4 yrs 5 mos
Banc of America Investment Services, INC.
October 2004 - March 2009 · 4 yrs 5 mos
Quick & Reilly, INC.
May 2004 - October 2004 · 5 mos
Quick & Reilly, INC.Broker
January 2003 - October 2004 · 1 yr 9 mos
People's Securities, INC.Broker
August 2002 - October 2002 · 2 mos
Metlife Securities INC.Broker
November 2000 - May 2002 · 1 yr 6 mos
Metropolitan Life Insurance CompanyBroker
November 2000 - May 2002 · 1 yr 6 mos
First Union Brokerage Services, INC.Broker
September 1998 - December 1999 · 1 yr 3 mos
Citicorp Investment ServicesBroker
February 1997 - September 1998 · 1 yr 7 mos
Nathan & Lewis Securities, INC.Broker
October 1995 - June 1996 · 8 mos
Charles Schwab & CO., INC.Broker
September 1989 - July 1995 · 5 yrs 10 mos
Oppenheimer & CO., INC.Broker
January 1988 - May 1988 · 4 mos
L. F. Rothschild & CO. IncorporatedBroker
August 1987 - February 1988 · 6 mos
State Registrations8 states
CTFLIDMINYPATXVA
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.