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Ulisses R. Hernandez

Some features on this profile are disabled
CRD#: 2588884
UH

Professional summary

Ulisses Ramirez Hernandez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ulisses is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Ulisses had worked at 6 firms, which includes JOSEPHTHAL & CO. INC., MILLENNIUM SECURITIES CORP., J. P. GIBBONS & CO. INC., CIBC WORLD MARKETS CORP., H.J. MEYERS & CO. INC., OPPENHEIMER & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 1999 - April 24, 2001

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

January 8, 1999 - May 24, 1999

MILLENNIUM SECURITIES CORP.

BD
CRD#: 31695
NEW YORK, NY
Past

October 26, 1998 - January 8, 1999

J. P. GIBBONS & CO., INC.

BD
CRD#: 38850
NEW YORK, NY
Past

October 7, 1997 - August 27, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

October 24, 1996 - October 22, 1997

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

March 8, 1995 - May 30, 1996

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/1996
General Securities Representative Examination

Current Firm

J&
JOSEPHTHAL & CO., INC.
JOSEPHTHAL & CO INC | ROSENKRANTZ, EHRENKRANTZ, LYON & ROSS INCORPORATED | ROSENKRANTZ LYON & ROSS INCORPORATED | JOSEPHTHAL LYON & ROSS INCORPORATED | JOSEPHTHAL & CO., INC.

CRD#: 3227 / SEC#: , 8-5651

BD
Terminated by SEC on 06/24/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 06/20/1956
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JOSEPHTHAL CAPITAL GROUP, INC.PARENT
AGOSTA, SALVATORE FRANKCHIEF FINANCIAL OFFICER1253738
FICHTNER, HENRY ARTHURNATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT1327009
FITZGERALD, PAUL HENRYCEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR812775
HURLEY, KEVIN BRADYCOMPLIANCE DIRECTOR1293748
KRONENBERG, DAVID HIRSCHCHIEF ADMINISTRATIVE OFFICER1799665
MATYCKAS, EDWARD STANLEYCROP/SROP1405961
MCCABE, DONALD GERARDGENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY1367480
MCNAMARA, DENNIS PATRICKGENERAL COUNSEL - CORPORATE-VICE PRESIDENT2938486

Disclosures

Regulatory Event32
Arbitration12

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

JOSEPHTHAL & CO., INC.

CRD#: 3227

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