Raymond 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.
Raymond Fernandez, who also goes by Raymond Michael Fernandez Jr, Raymond Michael Jr Fernandez, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1986. Raymond had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2014 - January 5, 2015
PRUCO SECURITIES, LLC.
July 1, 2014 - January 5, 2015
PRUCO SECURITIES, LLC.
June 12, 2013 - June 5, 2014
SECURIAN FINANCIAL SERVICES, INC.
May 21, 2013 - June 5, 2014
SECURIAN FINANCIAL SERVICES, INC.
October 21, 2011 - July 2, 2012
SPEEDTRADER, INC
March 22, 2011 - October 28, 2011
PROTRADE SECURITIES, LLC
November 12, 2009 - January 28, 2010
OLYMPIAN SECURITIES LLC
August 11, 2008 - October 30, 2009
PLANMEMBER SECURITIES CORPORATION
August 5, 2008 - October 30, 2009
PLANMEMBER SECURITIES CORPORATION
May 17, 2007 - June 6, 2008
MORGAN STANLEY & CO. LLC
May 8, 2007 - June 6, 2008
MORGAN STANLEY & CO. LLC
January 18, 2006 - March 12, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
May 4, 1993 - April 15, 2004
BNP PARIBAS SECURITIES CORP.
April 12, 1993 - May 4, 1993
BNP PARIBAS SECURITIES CORP.
November 3, 1992 - April 28, 1993
OPPENHEIMER & CO. INC.
September 19, 1991 - October 13, 1992
NOMURA SECURITIES INTERNATIONAL, INC.
August 10, 1987 - February 22, 1991
PRUDENTIAL EQUITY GROUP, LLC
December 23, 1986 - August 27, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
Series 55
Date: 7/28/1998
Limited Representative-Equity Trader ExamCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
