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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

STEVEN ORTEGA

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Norwalk, CT

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Search this name across graphsid dfx:ria:8c8a948e-b8de-57a3-18b7-efa6e9ee2f74

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 24, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 8, 1987
First registration: May 24, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 1610914

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	May 15, 2013	n/a	yes	Norwalk, CT	Current employment
WESTPORT RESOURCES MANAGEMENT INC	Former SEC adviser	Mar 6, 2009	May 20, 2013	no	WESTPORT, CT	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Mar 9, 2009	no	DARIEN, CT\|STAMFORD, CT\|STAMFORD, CT\|STAMFORD, CT\|WEST STAMFORD, CT\|STAMFORD, CT\|STAMFORD, CT	Previous registration
QUICK & REILLY, INC.	n/a	May 24, 2004	Oct 20, 2004	no	WESTPORT, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESTPORT RESOURCES MANAGEMENT INC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	May 20, 2013	May 15, 2013	-5	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	WESTPORT RESOURCES MANAGEMENT INC	Mar 9, 2009	Mar 6, 2009	-3	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
May 15, 2013 to presentfactForm ADV
→ WESTPORT RESOURCES MANAGEMENT INCRegistered adviserregistration: previous registration
Mar 6, 2009 to May 20, 2013factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Mar 9, 2009factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
May 24, 2004 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.