Rosa M. 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.
Rosa Maria Fernandez, who also goes by Rosa Fernandez, Rosy Fernandez, Rosa Maria Fernandez Bajo, Rosa Fernandez Bajo, Rosa Maria Fernandezbajo, was a registered financial professional .
Rosa is a previously registered financial professional and started their career in finance in 1985. Rosa had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 1992 - January 30, 2018
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
March 2, 1992 - December 5, 2017
UBS FINANCIAL SERVICES INC.
November 24, 1989 - July 20, 1992
FIRST CONTINENTAL CORPORATION
December 12, 1985 - December 12, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 12/7/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/5/1985
Interest Rate Options ExaminationCurrent Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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