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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

OSCAR CORTES

Advisor at VANGUARD ADVISERS, INC.

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:c0ee9ded-20b3-5df9-4933-7f37b91c5674

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Apr 28, 2008 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: VANGUARD ADVISERS, 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: Feb 18, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Feb 18, 2000
First registration: Apr 28, 2008
Dual registered: yes, broker-dealer
Other names: OSCAR G CORTES|OSCAR CORTES
IAPD individual key: 4011097

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
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Apr 2, 2026	n/a	yes	SCOTTSDALE, AZ	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	Feb 6, 2026	no	PHOENIX, AZ\|TEMPE, AZ	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Nov 26, 2019	Jul 19, 2023	no	TUCSON, AZ\|TEMPE, AZ\|COMMERCE CITY, CO\|AURORA, CO\|WHEAT RIDGE, CO\|TUCSON, AZ\|AURORA, CO\|AURORA, CO\|TUCSON, AZ\|TUCSON, AZ\|OMAHA, NE	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 11, 2017	Nov 29, 2019	no	Phoenix, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 17, 2013	Aug 17, 2017	no	CHANDLER, AZ	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 28, 2008	May 17, 2013	no	PHOENIX, AZ\|PHOENIX, AZ\|Phoenix, AZ\|Phoenix, AZ\|Phoenix, AZ	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
LPL FINANCIAL LLC	VANGUARD ADVISERS, INC.	Feb 6, 2026	Apr 2, 2026	55	Firm change	Ibd to ibd
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 19, 2023	Jul 19, 2023	0	Bulk transfer	Ibd to ibd
CHARLES SCHWAB & CO., INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Nov 29, 2019	Nov 26, 2019	-3	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CHARLES SCHWAB & CO., INC.	Aug 17, 2017	Sep 11, 2017	25	Firm change	Wirehouse to ibd
CHARLES SCHWAB & CO., INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 17, 2013	Jun 17, 2013	31	Firm change	Ibd to wirehouse

Relationships

Registered with (5)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Apr 2, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 19, 2023 to Feb 6, 2026factForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Nov 26, 2019 to Jul 19, 2023factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 11, 2017 to Nov 29, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 17, 2013 to Aug 17, 2017factForm ADV

Dated events

Occurred
Feb 6, 2026
Advisor changed firm
Oscar Cortes left Lpl Financial Llc for Vanguard Advisers, Inc. (registered 2026-04-02)
Form ADVobserved 5 days ago