Carolina B. Fernandez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carolina B Fernandez, who also goes by Carolina Beth Fernandez, Carolyn Lehoczky Fernandez, Candinz B Fernzndez, was a registered financial professional .
Carolina is a previously registered financial professional and started their career in finance in 2006. Carolina had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2010 - December 31, 2012
SOURCE CAPITAL GROUP, INC.
April 5, 2010 - December 31, 2012
SOURCE CAPITAL GROUP, INC.
June 1, 2009 - April 26, 2010
MORGAN STANLEY
June 1, 2009 - April 26, 2010
MORGAN STANLEY
August 18, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 2, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SOURCE CAPITAL GROUP, INC.
CRD#: 36719 / SEC#: 801-88199, 8-47372
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS, DAVID WEBSTER | PRESIDENT / CHIEF COMPLIANCE OFFICER - INTERIM | 237802 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
