Fatima E Sosa ortiz
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
13 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
13 years in the industry.
- Bank of America, N.A.Jul 2025 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 2022 to now
- Stornetta Made, Inc.Jul 2021 to Jul 2022
- J.P. Morgan Securities LLCOct 2020 to Jul 2022
- JPMorgan Chase Bank, N.A.Mar 2020 to Jul 2022
- Pathfinder Marketing SolutionDec 2019 to Feb 2020
- UnemployedAug 2019 to Nov 2019
- Zoe OrganicsMay 2019 to Jul 2019
- Spring Mountain WineeryMar 2019 to Apr 2019
- Dentech ServicesNov 2016 to May 2019
- Pacific Union CollegeSep 2013 to Jun 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law2021
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7310353
- Firm CRD
- 7691