Sergio Fernandez
SYNOVUS SECURITIES
Margate, FL 33063
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CRD#: 1475124
Professional summary
Sergio Fernandez, CFP® is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Margate, Florida.
Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Sergio has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
What are your service offerings?
Long-term Care
Education Planning
Business Succession Planning
Estate Planning
Insurance Planning
Employee and Employer Plan Ben...
Investment Planning
Budgeting
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
INDEPENDENT INSURANCE AGENT - START DATE: 07/03/2003 - RESIDUALS FROM OLD DISABILITY INSURANCE AND LTC POLICIES - MEMBER - 0 HRS/MO; 0 HRS DURING TRADING - INVESTMENT RELATED - COMSSION RECEIVED FROM VARIOUS INSURANCE AND ANNUITY CARRIERS - WILL RECEIVE RESIDUAL ONLY INSURANCE COMMISSIONS, RENEWAL FEES, ETC. FOR EXISTING BUSINESS TRANSACTED PRIOR TO 02/28/2020 ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Sergio Fernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sergio Fernandez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2002
Experience
Current
February 28, 2020 - Present
SYNOVUS SECURITIES, INC.
Office #1: 5375 W Atlantic Blvd, Margate, FL 33063Office #2: 11315 S. Dixie Highway, Pinecrest, FL 33156Office #3: 121 Alhambra Plaza, Coral Gables, FL 33134RIA
BD
CRD#: 14023
Margate, FL
Current
February 28, 2020 - Present
SYNOVUS SECURITIES, INC.
Office #1: 5375 W Atlantic Blvd, Margate, FL 33063Office #2: 11315 S. Dixie Highway, Pinecrest, FL 33156Office #3: 121 Alhambra Plaza, Coral Gables, FL 33134RIA
BD
CRD#: 14023
Margate, FL
Past
February 23, 2004 - December 31, 2006
COMPASS ADVISORY GROUP, LLC
RIA
CRD#: 130685
MIAMI LAKES, FL
Past
July 19, 2003 - March 4, 2020
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
BOCA RATON, FL
Past
July 18, 2003 - March 4, 2020
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
MIAMI, FL
Past
June 26, 2003 - August 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
May 15, 2003 - August 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 20, 1997 - July 24, 1997
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
March 20, 1986 - April 4, 1997
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(2/28/2020)
IAR
Florida(3/9/2020)
RR
Georgia(2/28/2020)
IAR
Georgia(3/2/2020)
RR
Mississippi(4/29/2025)
IAR
Mississippi(4/29/2025)
RR
New Jersey(1/3/2022)
RR
New York(2/28/2020)
RR
North Carolina(1/7/2025)
IAR
North Carolina(1/7/2025)
RR
Pennsylvania(12/11/2024)
IAR
Pennsylvania(12/11/2024)
RR
Texas(4/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
Company Information
SYNOVUS SECURITIES, INC.
CRD#: 14023Margate, FL 33063TRUST BUT VERIFY
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Contact information
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