Fatima
Sosa Ortiz

Merrill Lynch, Pierce, Fenner & Smith Inc

CRD#7310353
Investment Advisor
in Napa, CA

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About this Advisor

Fatima Sosa Ortiz is a financial advisor based in Napa, California, working with Merrill Lynch, Pierce, Fenner & Smith Inc. Fatima has previously held positions at Jpmorgan Chase Bank, N.A, J.P. Morgan Securities LLC, Pathfinder Marketing Solution, Zoe Organics, Pacific Union College, Dentech Services, Spring Mountain Winery, Stornetta Made, Inc, and Merrill Lynch, Pierce, Fenner & Smith Inc. Fatima has passed the Series 63 and Series 66 regulatory exams and is registered to provide services in California. Currently, Fatima is part of Merrill Lynch, Pierce, Fenner & Smith Inc, which operates out of Napa, California. The firm has 3,542 offices and 34,934 employees. The firm manages assets totaling $1.3 trillion and serves a variety of clients, including charitable organizations and high-net-worth individuals. The services offered by the firm include portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars, and other services. The fee structure at Merrill Lynch, Pierce, Fenner & Smith Inc includes asset-based, fixed, and commission-based fees.

Certifications and Registrations

Series 63, Series 66

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Fixed Fees, Commissions

Office Location

700 Main St
Napa, CA 94559

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Merrill Lynch, Pierce, Fenner & Smith Inc Brokerage Details

Total Assets Under Management

$1,271,593,679,276

CA Average: $7,464,549,021
Total Number of Employees

34,934

CA Average: 88
Total Number of Accounts

2,911,578

CA Average: 3,892
Average Account Size

$436,737

CA Average: $1,917,921

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Fatima Sosa Ortiz Work History

2022 - Present (2 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2021 - 2022 (1 year)

Stornetta Made, Inc

2020 - 2022 (2 years)

Jpmorgan Chase Bank, N.A

2020 - 2022 (2 years)

J.P. Morgan Securities LLC

2019 - 2020 (1 year)

Pathfinder Marketing Solution

2019 - 2019 (< 1 year)

Zoe Organics

2019 - 2019 (< 1 year)

Spring Mountain Wineery

2018 - 2019 (1 year)

Pacific Union College

2016 - 2019 (3 years)

Dentech Services

2013 - 2019 (6 years)

Pacific Union College

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Disclosures

Please visit the SEC profile of Fatima Sosa Ortiz to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Merrill Lynch, Pierce, Fenner & Smith Inc

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Szymon Czulak
Chicago, IL
Houry Kachadorian
Vienna, VA
Christopher Norkus
Annapolis, MD
Emily Grace
Washington, DC
Jose Escobar
Houston, TX
David Shams
Denver, CO
Yanni Chan
Ontario, CA

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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