Rene Hernandez
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.
Rene Hernandez Jr., who also goes by Rene Hernandez Jr, Rene Hernandez Jr., Rene Hernandez, was a registered financial professional .
Rene is a previously registered financial professional and started their career in finance in 1999. Rene had worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2022 - October 20, 2022
ERNST & YOUNG INVESTMENT ADVISERS LLP
February 3, 2020 - September 15, 2020
CUNA BROKERAGE SERVICES, INC.
January 28, 2020 - September 15, 2020
CUNA BROKERAGE SERVICES, INC.
April 30, 2019 - February 12, 2020
ALLSTATE FINANCIAL ADVISORS, LLC
April 23, 2019 - February 12, 2020
ALLSTATE FINANCIAL SERVICES, LLC
September 10, 2015 - April 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2015 - April 30, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2013 - October 23, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2012 - March 20, 2013
DEUTSCHE BANK SECURITIES INC.
November 8, 2011 - January 3, 2012
DB SECURITIES SERVICES NJ INC.
June 27, 2011 - July 8, 2011
USAA FINANCIAL ADVISORS, INC.
February 24, 2009 - August 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2008 - August 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2007 - March 15, 2007
FIDELITY BROKERAGE SERVICES LLC
September 22, 2005 - November 28, 2006
PARK AVENUE SECURITIES LLC
June 14, 2002 - July 27, 2005
MML INVESTORS SERVICES, LLC
December 20, 1999 - December 19, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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 7TO
Date: 4/25/2023
General Securities Representative ExaminationCurrent Firm
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
Red Flags
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