Mike Hernandez
Professional summary
Mike Hernandez is a registered financial professional currently at ARCOLA SECURITIES, INC. located in New York, New York.
Mike is registered as a RR (Registered Representative) and started their career in finance in 1999. Mike has worked at 5 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mike Hernandez's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 3, 2013 - Present
ARCOLA SECURITIES, INC.
Office #1: 1211 Avenue Of The Americas 41st Floor, New York, NY, 10036July 23, 2003 - April 9, 2012
BLOOMBERG TRADEBOOK LLC
April 24, 2001 - July 2, 2002
WORLDXT LLC
March 30, 2000 - November 8, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
July 12, 1999 - November 21, 2002
ICAPITAL MARKETS 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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
ARCOLA SECURITIES, INC.
CRD#: 147952 / SEC#: , 8-67940
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANNALY TRS, INC. | SHAREHOLDER | |
| GRIFFIN, JOHANNA | DIRECTOR | 2008809 |
| HERNANDEZ, MIKE | CFO/FINOP, TREASURER | 3042594 |
| HUNT, JON THOMAS | DIRECTOR, PRESIDENT | 2929809 |
| KOUKOURAS, PANAGIOTI | DIRECTOR | 4694542 |
| MCKIM, JASON DAVID | GENERAL COUNSEL, SECRETARY | 6333143 |
| TRUZZI, ROCHELLE ANN | CHIEF COMPLIANCE OFFICER, AMLCO | 2754706 |
Red Flags
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