Alan 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.
Alan Santiago Fernandez was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1991. Alan had worked at 11 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2010 - January 25, 2013
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
April 23, 2009 - December 1, 2009
HALLIDAY FINANCIAL, LLC
October 2, 2003 - December 31, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
June 5, 2000 - July 23, 2003
CADARET, GRANT & CO., INC.
May 3, 1999 - May 31, 2000
PARK AVENUE SECURITIES LLC
April 8, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 21, 1993 - April 21, 1994
TOWER SQUARE SECURITIES, INC.
December 15, 1992 - April 28, 1993
METROPOLITAN LIFE INSURANCE COMPANY
December 15, 1992 - April 28, 1993
MSI FINANCIAL SERVICES, INC.
April 24, 1991 - June 25, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 24, 1991 - June 25, 1992
PRUCO SECURITIES, 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
Current Firm
NEW HORIZONS ASSET MANAGEMENT GROUP, LLC
CRD#: 103340 / SEC#: , 8-52174
Contact information
Red Flags
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