EDWARD ORTEGA is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 413 NORTHSHORE DR, KNOXVILLE, TN, 37919.
EDWARD ORTEGA has worked at CETERA ADVISOR NETWORKS LLC since August 07, 2017
Disclosure History
EDWARD ORTEGA has 2 Disclosure Event(s).
Date: October 01, 2009 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: Miscommunication between hospital and myself. Case settled.
Date: April 02, 2009 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGED THAT HE ROLLED HIS RETIREMENT PLAN OVER TO AN ING VARIABLE ANNUITY IN JANUARY OF 2008 UTILIZING THE RR. HE TOLD THE RR THAT HE WANTED THE MONEY ON A FIXED ACCOUNT WITH MINIMAL INTEREST RATES. HE ALLEGES THE RR TOLD HIM A MINIMUM ANNUAL RATE OF 7% AND THAT, IF THEY MADE MONEY THE GAINS WOULD BE LOCKED IN. HE ALLEGES THE RR STATED THAT HE COULD NOT LOSE MONEY AS THE 7% ANNUAL RATE WAS GUARANTED. HE ALSO ALLEGES HE WAS NEVER TOLD OF THE FEES THAT WERE GOING TO BE CHARGED FOR THE CONTRACT AND WANTS HIS ENTIRE INVESTMENT BACK. Damage Amount Requested: $23,232.00 Broker Comment: NOTE; THE RR,CRD#3139559, WAS NOT REGISTERED WITH OUR B/D,UNITED EQUITY SECURITIES, LLC AT THE TIME IT OCCURED. ON 04/22/2009 THE ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT.
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