Roman Ortega has been an investment adviser representative at Corrales & Company since July 2026, and is not listed among the firm’s executive officers or direct owners.
Corrales & Company, LLC is a Miami, FL firm with $174M under management, 304 clients and 6 advisers in one office, as of its April 2026 filing.
Roman Ortega’s longest registration was under a year at First Command Advisory Services (2026–2026). Before joining Corrales & Company in 2026, Roman Ortega was registered through First Command Advisory Services.
- First Command Advisory Services– · under a yearFort Worth, TX · Adviser representative · Firm CRD 281958
Investment adviser representative registrations
Roman Ortega is registered as an investment adviser representative in Illinois, since July 2026.
- IllinoisSince 20 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 February 2026 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 2025 |
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 10 July 2025 |
| SIE | Securities Industry Essentials Examination | 24 March 2025 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- CRD
- 8031009
- Firm
- Corrales & Company · CRD 332189
- Office
- 1200 BRICKELL AVE, SUITE 220, Miami, FL 33131
- Registration
- Investment adviser registration
- In the industry since
- July 2025
- Disciplinary history
- Not yet shown here · SEC record
Where does Roman Ortega work?
Roman Ortega is an investment adviser representative registered through Corrales & Company, LLC since July 2026, and is not listed among the firm’s executive officers or direct owners.
Is Roman Ortega a financial advisor?
Yes. Roman Ortega has a current investment-adviser registration in Illinois, through Corrales & Company since July 2026.
How many years of experience does Roman Ortega have?
Roman Ortega has 1 year in the financial industry, since July 2025, across 2 adviser firms.
What exams has Roman Ortega passed?
Roman Ortega has passed 4 licensing exams: the SIE, Series 6TO, Series 63 and Series 65. The earliest, the SIE, was passed in March 2025.
Where did Roman Ortega work before Corrales & Company?
Before Corrales & Company, Roman Ortega was registered through First Command Advisory Services, February 2026 to July 2026.
Where is Roman Ortega based?
Roman Ortega’s registered office is in Miami, FL.
Is Roman Ortega registered with FINRA?
No. Roman Ortega has no current broker registration.
How can I verify Roman Ortega’s record?
Search CRD 8031009 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roman Ortega’s full registration record.