Jose A. 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.
Jose Antonio Fernandez, who also goes by Anthony Fernandez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1994. Jose had worked at 4 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
January 20, 2014 - June 19, 2014
WTS PROPRIETARY TRADING GROUP LLC
August 29, 2007 - February 4, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
May 23, 2005 - July 25, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
March 3, 2003 - April 22, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
June 13, 1999 - March 3, 2003
RUMSON CAPITAL, LLC
January 14, 1994 - July 21, 1999
HANSON ANDERSON SECURITIES CORPORATION
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: 4/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 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.
