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Frank Ortiz

Wells Fargo Advisors
26 Years of Experience
La Crescenta, CA
3 DisclosuresBroker
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Frank Ortiz is a registered investment advisor at Wells Fargo Advisors, based in La Crescenta, CA, with 26 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B

Fee Structure

Minimum Investment:$250K
  • Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.

The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.

One-Time Plan:Up to $25,000
View Full SEC Brochure

Location

4000 Foothill Blvd, La Crescenta, CA, 91214

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History

Regulatory History (3)
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
November 2019
Settled
Customer Dispute
February 2016
Denied
Criminal
May 1986
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
June 2012 - Present · 13 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
June 2012 - Present · 13 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - June 2012 · 2 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - June 2012 · 2 yrs 8 mos
Banc of America Investment Services, INC.Broker
September 2002 - October 2009 · 7 yrs 1 mo
Banc of America Investment Services, INC.
September 2002 - October 2009 · 7 yrs 1 mo
One Orchard Equities, INC.Broker
April 2001 - September 2002 · 1 yr 5 mos
American Express Financial Advisors INC.Broker
May 2000 - March 2001 · 10 mos
Ids Life Insurance CompanyBroker
May 2000 - March 2001 · 10 mos
TD Waterhouse Investor Services, INC.Broker
June 1999 - November 1999 · 5 mos
State Registrations5 states
AZCAFLNCVA
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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