Mario E. 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.
Mario Eduardo Fernandez was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1996. Mario had worked at 6 firms and has passed the Series 66, Series 63, SIE 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
June 21, 2019 - January 18, 2024
OCEAN FINANCIAL ADVISORS LLC
May 2, 2018 - January 18, 2024
OCEAN FINANCIAL SERVICES, LLC
August 26, 2016 - April 20, 2018
EFG CAPITAL ADVISORS INC.
November 10, 2009 - November 6, 2014
EFG CAPITAL ADVISORS LLC
August 3, 2009 - April 20, 2018
EFG CAPITAL INTERNATIONAL
March 3, 2003 - July 22, 2009
TRUIST INVESTMENT SERVICES, INC.
March 14, 1996 - July 22, 2009
TRUIST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OCEAN FINANCIAL ADVISORS LLC
CRD#: 291950 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 4,032,760 |
Red Flags
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