Hernando H. Cortes
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.
Hernando Henry Cortes was a registered financial professional .
Hernando is a previously registered financial professional and started their career in finance in 1992. Hernando had worked at 7 firms and has passed the Series 63, 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
September 30, 2010 - April 19, 2013
VFINANCE INVESTMENTS, INC
February 15, 2008 - September 30, 2010
STOCKCROSS FINANCIAL SERVICES, INC.
August 14, 2003 - November 6, 2003
NORTH AMERICAN CLEARING, INC.
July 30, 2003 - February 15, 2008
EMPIRE FINANCIAL GROUP, INC.
December 19, 2000 - July 7, 2003
GMST WORLD MARKETS, INC.
March 16, 1994 - December 20, 2000
INTERNATIONAL ASSETS ADVISORY, LLC
October 23, 1992 - October 29, 1993
PRUDENTIAL EQUITY GROUP, 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 55
Date: 6/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
