Gisele S. 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.
Gisele Spicola Fernandez, who also goes by Gisele Olga Fernandez, Gisele Spicola Gaines, Gisele Gianes, Gisele Olga Spicola, Gisele Spicola, was a registered financial professional .
Gisele is a previously registered financial professional and started their career in finance in 1988. Gisele had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3, PC, Series 7, Series 51 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
April 30, 2015 - May 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2015 - May 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2012 - August 29, 2013
VALIC FINANCIAL ADVISORS, INC.
September 17, 2012 - August 29, 2013
VALIC FINANCIAL ADVISORS, INC.
October 1, 2008 - October 1, 2010
ALLSTATE FINANCIAL ADVISORS, LLC
February 17, 2006 - October 1, 2010
ALLSTATE FINANCIAL SERVICES, LLC
April 14, 2004 - March 3, 2006
NEXT FINANCIAL GROUP, INC.
March 25, 2003 - April 5, 2004
SUNAMERICA SECURITIES, INC.
October 10, 2000 - November 7, 2001
FUNDS DISTRIBUTOR, LLC
March 27, 2000 - September 29, 2000
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 31, 1997 - March 28, 2000
WOODBURY FINANCIAL SERVICES, INC.
August 27, 1993 - December 23, 1996
INVEST FINANCIAL CORPORATION
September 17, 1992 - January 7, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 1990 - July 8, 1992
BARNETT INVESTMENTS, INC.
December 8, 1989 - April 30, 1990
TRUIST INVESTMENT SERVICES, INC.
March 23, 1988 - December 19, 1989
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 4/15/1988
AMEX Put and Call ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
