Joseph L. Fernandez
Professional summary
Joseph Louis Fernandez is a registered financial professional currently at G.RESEARCH, LLC located in Rye, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 14 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Louis Fernandez's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2019 - Present
G.RESEARCH, LLC
Office #1: One Corporate Center, Rye, NY 10580-1435February 28, 2019 - June 3, 2019
TEMPLUM MARKETS LLC
July 11, 2016 - September 20, 2016
BNY MELLON CAPITAL MARKETS, LLC
April 15, 2014 - July 18, 2014
NATWEST MARKETS SECURITIES INC.
January 5, 2012 - February 13, 2013
MORGAN STANLEY & CO. LLC
January 13, 2011 - May 31, 2011
TICONDEROGA SECURITIES LLC
October 24, 2007 - January 4, 2010
CONCORD CAPITAL MARKETS, LLC
January 4, 2007 - October 1, 2007
ICAP SECURITIES USA LLC
January 4, 2007 - October 1, 2007
BROKERTEC AMERICAS LLC
July 12, 2001 - January 31, 2002
GGET, LLC.
June 17, 1999 - October 1, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 30, 1997 - April 2, 1998
GARBAN CAPITAL MARKETS LLC
September 7, 1995 - June 6, 1997
J.P.P. EURO-SECURITIES, INC.
December 1, 1993 - March 17, 1995
W.J. NOLAN & COMPANY, INC.
September 19, 1991 - November 9, 1993
G.RESEARCH, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
G.RESEARCH, LLC
CRD#: 7353 / SEC#: , 8-21373
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN GROUP HOLDING CO. | PARENT COMPANY/OWNER | |
| AMABILE, VINCENT M | PRESIDENT | 4356758 |
| FERNANDEZ, JOSEPH LOUIS | FINANCIAL AND OPERATIONS PRINCIPAL | 1968118 |
| GOLDMAN, DAVID MARC | ASSISTANT SECRETARY | 3191963 |
| GREENHAW, PAUL DANIEL | CHIEF COMPLIANCE OFFICER | 1820935 |
| MCGINITY, CORNELIUS VINCENT | OFFICE OF THE CHAIRMAN | 1706960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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