Daniel A Ortiz

CRD 5793146 · T. Rowe Price Associates, Inc. · Huntington Beach, CA

IA RegisteredBroker

Also appears in the source record as: Daniel Alan Ortiz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 63SIESeries 7Series 6
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 16
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: T. Rowe Price Associates, Inc.
Firm CRD: 105496
SEC number: 801-856
Assets under management: $2.2T as of Mar 31, 2026
Website: www.troweprice.com ↗
Phone: 410-345-2000
Firm location: Baltimore, MD, 21231

Employment history (9)

From the source registration record · current first

T. Rowe Price Associates, Inc.Current
Huntington Beach, CA · IA capacity

Sep 24, 2024 → present
T. Rowe Price Investment Services, Inc.Current
Huntington Beach, CA · BD capacity

Sep 24, 2024 → present
Neuberger Berman Bd LLC
BD capacity

Sep 8, 2022 → Sep 5, 2024
Neuberger Berman Bd LLC
IA capacity

Sep 8, 2022 → Sep 5, 2024
Pimco Investments LLC
BD capacity

Jun 5, 2017 → Aug 25, 2022
Kbs Capital Markets Group LLC
BD capacity

Mar 15, 2013 → May 24, 2017
Arque Capital, Ltd.
BD capacity

Dec 14, 2012 → Mar 12, 2013
J.P. Morgan Securities LLC
BD capacity

Oct 1, 2012 → Oct 25, 2012
Chase Investment Services Corp.
BD capacity

Jun 9, 2010 → Oct 1, 2012

Source & corrections

Where this page comes from

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