Carl J. Fernandez
Professional summary
Carl James Fernandez is a registered financial advisor currently at PRUVISE located in Newport Beach, California.
Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Carl has worked at 5 firms and has passed the Series 63, Series 3, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carl James Fernandez's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 19, 2023 - Present
PRUVISE
Office #1: 4695 Macarthur Ct 1100, Newport Beach, CA 92660June 6, 2007 - September 20, 2007
GLB TRADING, INC
April 9, 2003 - July 1, 2003
REDWOOD TRADING, LLC
April 13, 1998 - February 18, 1999
PETERS SECURITIES CO., LP
March 26, 1996 - April 1, 1996
CHICAGO PARTNERSHIP BOARD, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/19/2023)
Exams
Series 55
Date: 1/26/1999
Limited Representative-Equity Trader ExamCurrent Firm
PRUVISE
CRD#: 304365 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 100,000 |
Red Flags
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