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Diana Ortiz
35 Years of Experience
Gig Harbor, WA
2 DisclosuresBroker
Diana Ortiz is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Gig Harbor, WA, with 35 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
5303 Point Fosdick Drive, Gig Harbor, WA, 98335
Get directionsHistory
Regulatory History (2)
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Customer Dispute
July 2011Settled
Customer Dispute
November 1997Denied
Other Business Activities
Diana works as a financial advisor for Columbia Wealth Advisors and Umpqua Bank since February 2022. These roles each take about half of Diana's time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2023 - Present · 2 yrs 7 mos
Raymond James Financial Services, INC.Broker
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
Cetera Investment Advisers LLC
February 2022 - October 2023 · 1 yr 8 mos
Cetera Investment Services LLCBroker
February 2022 - October 2023 · 1 yr 8 mos
Key Investment Services LLC
August 2009 - February 2022 · 12 yrs 6 mos
Key Investment Services LLCBroker
January 2006 - February 2022 · 16 yrs 1 mo
Mcdonald Investments INC.Broker
March 2002 - December 2005 · 3 yrs 9 mos
Metropolitan Investment Securities, INC.Broker
September 2001 - March 2002 · 6 mos
First Montauk Securities CORP.Broker
July 2001 - September 2001 · 2 mos
Metropolitan Investment Securities, INC.Broker
October 1999 - July 2001 · 1 yr 9 mos
Dean Witter Reynolds INC.Broker
November 1998 - November 1999 · 1 yr
Key Investments INC.Broker
December 1996 - November 1998 · 1 yr 11 mos
Wells Fargo Securities INC.Broker
August 1996 - December 1996 · 4 mos
First Interstate Investments,inc.Broker
October 1995 - August 1996 · 10 mos
Essex National Securities, INC.Broker
July 1992 - November 1995 · 3 yrs 4 mos
Midamerica Management CorporationBroker
November 1990 - June 1992 · 1 yr 7 mos
State Registrations5 states
AZMDORTXWA
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.