Javier 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.
Javier Hernandez was a registered financial professional .
Javier is a previously registered financial professional and started their career in finance in 2001. Javier had worked at 5 firms and has passed the Series 63, SIE, Series 57TO, Series 3, Series 55 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 1, 2023 - March 4, 2025
TOWER PRINCIPAL MARKETS LLC
December 18, 2021 - March 4, 2025
TRC MARKETS LLC
September 19, 2006 - May 21, 2008
UBS SECURITIES LLC
May 20, 2004 - June 26, 2006
GOLDMAN SACHS & CO. LLC
November 13, 2001 - May 3, 2004
VIRTU ITG LLC
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 57TO
Date: 12/17/2021
Securities Trader ExamSeries 55
Date: 10/23/2002
Limited Representative-Equity Trader ExamCurrent Firm
TOWER PRINCIPAL MARKETS LLC
CRD#: 319604 / SEC#: , 8-70919
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
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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