Frank 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.
Frank Fernandez, who also goes by Francisco Fernandez, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1993. Frank had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 11 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 8, 2021 - October 11, 2021
OPTIVISE ADVISORY SERVICES LLC
July 15, 2019 - December 31, 2020
OPTIVISE ADVISORY SERVICES LLC
July 27, 2017 - June 28, 2019
BLUE DUCK WEALTH MANAGEMENT
October 4, 2013 - April 28, 2017
SECURIAN FINANCIAL SERVICES, INC.
June 17, 2013 - April 28, 2017
SECURIAN FINANCIAL SERVICES, INC.
January 23, 2012 - June 4, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 5, 2011 - August 18, 2011
LEGEND SECURITIES, INC.
September 9, 1997 - May 18, 2011
J.P. TURNER & COMPANY, L.L.C.
May 12, 1995 - August 12, 1997
ARGENT SECURITIES, INC.
June 30, 1993 - March 21, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Primary Firm SEC Registration
OPTIVISE ADVISORY SERVICES LLC
CRD#: 301764 / SEC#: 801-115232
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: 2/25/1999
Limited Representative-Equity Trader ExamSeries 11
Date: 6/28/1993
Assistant Representative-Order Processing Qualification ExamCurrent Firm
OPTIVISE ADVISORY SERVICES LLC
CRD#: 301764 / SEC#: 801-115232
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,761 |
| AUM (Assets Under Management) | $ 267,384,088 |
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.
