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RH

Rochelle L. Hernandez

FIDELITY BROKERAGE SERVICES
SMITHFIELD, RI 02917
CRD#: 2525481
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RH
Rochelle Lynn HernandezFIDELITY BROKERAGE SERVICES

Professional summary

Rochelle Lynn Hernandez, who also goes by Rochelle Lynn Groom, Rochelle Hernandez, Rochelle L Hernandez, Rochelle Lynn Hernandez, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Rochelle is registered as a RR (Registered Representative) and started their career in finance in 1998. Rochelle has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rochelle Lynn Groom | Rochelle Hernandez | Rochelle L Hernandez | Rochelle Lynn Hernandez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rochelle Lynn Hernandez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 4, 2026 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
SMITHFIELD, RI
Past

June 3, 2024 - May 4, 2026

MORGAN STANLEY

RIA
CRD#: 149777
The Woodlands, TX
Past

June 3, 2024 - May 4, 2026

MORGAN STANLEY

BD
CRD#: 149777
The Woodlands, TX
Past

June 12, 2023 - April 18, 2024

EDWARD JONES

RIA
CRD#: 250
HOUSTON, TX
Past

June 12, 2023 - April 18, 2024

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

February 1, 2021 - June 12, 2023

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
Houston, TX
Past

February 1, 2021 - June 12, 2023

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 26, 2020 - January 19, 2021

USCA RIA LLC

RIA
CRD#: 152170
HOUSTON, TX
Past

February 26, 2020 - January 19, 2021

USCA SECURITIES LLC

BD
CRD#: 103789
HOUSTON, TX
Past

December 6, 2010 - February 10, 2020

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

December 3, 2010 - February 10, 2020

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

June 13, 2007 - December 31, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
HOUSTON, TX
Past

February 16, 2007 - December 31, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HOUSTON, TX
Past

November 18, 1998 - February 22, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HOUSTON, TX
Past

June 22, 1998 - February 22, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(6/4/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/29/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

FB
FIDELITY BROKERAGE SERVICES LLC
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.

CRD#: 7784 / SEC#: , 8-23292

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.MEMBER
BRANDNER, CLINT RYANCHIEF OPERATIONS OFFICER7209362
CENATIEMPO, PHILIP JHEAD OF STRATEGY, PLANNING & ADVICE4809405
DYER, JANET MARIECO - CHIEF COMPLIANCE OFFICER3186352
MASCIALINO, ROBERT RAYMONDPRESIDENT/CEO/DIRECTOR2078086
MCLAUGHLIN, KEVIN MICHAELCHIEF FINANCIAL OFFICER5392417
MERKEN, GAIL RACHELCHIEF COMPLIANCE OFFICER5546717
PETERSON, PAUL DAVIDHEAD OF INVESTMENT ADVISOR GROUP2387115
STURDY, CHARLES HANCOCKSECRETARY AND GENERAL COUNSEL

Disclosures

Regulatory Event23
Arbitration126

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.

Company Information

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784Smithfield, RI 02917

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