Jorge G. Fernandez
Professional summary
Jorge Guillermo Fernandez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jorge is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Jorge had worked at 6 firms, which includes NATIONAL PLANNING CORPORATION, LOCUST STREET SECURITIES INC., SECURITIES AMERICA INC., COMMONWEALTH FINANCIAL NETWORK, MONEY CONCEPTS CAPITAL CORP, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2002 - February 3, 2005
NATIONAL PLANNING CORPORATION
June 19, 2002 - February 3, 2005
NATIONAL PLANNING CORPORATION
September 3, 1999 - July 1, 2002
LOCUST STREET SECURITIES, INC.
January 20, 1995 - August 31, 1999
SECURITIES AMERICA, INC.
January 10, 1994 - January 11, 1995
COMMONWEALTH FINANCIAL NETWORK
October 31, 1991 - January 1, 1994
MONEY CONCEPTS CAPITAL CORP
February 8, 1984 - July 26, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
Red Flags
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