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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Julian Ortega

Advisor at TRANSAMERICA FINANCIAL ADVISORS, LLC

Cedar Rapids, IA | San Antonio, TX

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Search this name across graphsid dfx:ria:a887dc6d-0d87-19de-744b-02ff85aa565c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Jan 3, 2008 to Sep 15, 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: TRANSAMERICA FINANCIAL ADVISORS, LLC
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: Jan 29, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jan 29, 1993
First registration: Jan 3, 2008
Dual registered: yes, broker-dealer
Other names: JULIAN ORTEGA|Julian Ortega
IAPD individual key: 2064426

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
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Aug 27, 2026	n/a	yes	Cedar Rapids, IA\|San Antonio, TX	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	May 30, 2024	Aug 21, 2026	no	SAN ANTONIO, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 16, 2022	May 20, 2024	no	SAN ANTONIO, TX	Previous registration
FROST INVESTMENT SERVICES	Bd affiliated wealth	Jul 19, 2022	Dec 8, 2022	no	SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 10, 2020	Jul 21, 2022	no	SAN DIEGO, CA\|San Antontio, TX	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Oct 21, 2010	Aug 28, 2020	no	SAN ANTONIO, TX\|Plano, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Jan 3, 2008	Sep 21, 2010	no	AUSTIN, TX\|AUSTIN, TX	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
CETERA INVESTMENT ADVISERS LLC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Aug 21, 2026	Aug 27, 2026	6	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	CETERA INVESTMENT ADVISERS LLC	May 20, 2024	May 30, 2024	10	Firm change	Wirehouse to ibd
FROST INVESTMENT SERVICES	WELLS FARGO ADVISORS	Dec 8, 2022	Dec 16, 2022	8	Firm change	Ibd to wirehouse
LPL FINANCIAL LLC	FROST INVESTMENT SERVICES	Jul 21, 2022	Jul 19, 2022	-2	Firm change	RIA to ibd
USAA INVESTMENT SERVICES COMPANY	LPL FINANCIAL LLC	Aug 28, 2020	Sep 10, 2020	13	Firm change	Other
NFP ADVISOR SERVICES, LLC	USAA INVESTMENT SERVICES COMPANY	Sep 21, 2010	Oct 21, 2010	30	Firm change	Other

Relationships

Registered with (7)

→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Aug 27, 2026 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
May 30, 2024 to Aug 21, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 16, 2022 to May 20, 2024factForm ADV
→ FROST INVESTMENT SERVICESRegistered adviserregistration: previous registration
Jul 19, 2022 to Dec 8, 2022factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 10, 2020 to Jul 21, 2022factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Oct 21, 2010 to Aug 28, 2020factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Jan 3, 2008 to Sep 21, 2010factForm ADV

Dated events

Occurred
Aug 21, 2026
Advisor changed firm
Julian Ortega left Cetera Investment Advisers Llc for Transamerica Financial Advisors, Llc (registered 2026-08-27)
Form ADVobserved 3 days ago
Occurred
May 20, 2024
Advisor changed firm
Julian Ortega left Wells Fargo Advisors for Cetera Investment Advisers Llc (registered 2024-05-30)
Form ADVobserved 3 days ago
Occurred
Dec 8, 2022
Advisor changed firm
Julian Ortega left Frost Investment Services for Wells Fargo Advisors (registered 2022-12-16)
Form ADVobserved 3 days ago
Occurred
Jul 21, 2022
Advisor changed firm
Julian Ortega left Lpl Financial Llc for Frost Investment Services (registered 2022-07-19)
Form ADVobserved 3 days ago