Rosemery Fernandez
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.
Rosemery Fernandez, who also goes by Rosemarie Ballestas, Rosemery Ballestas, Rosemary Fernandez, Rosemery Hurtado, was a registered financial professional .
Rosemery is a previously registered financial professional and started their career in finance in 2001. Rosemery had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2026 - July 8, 2026
INTERACTIVE BROKERS LLC
October 8, 2025 - October 12, 2025
J.P. MORGAN SECURITIES LLC
January 4, 2023 - September 6, 2024
UBS FINANCIAL SERVICES INC.
January 4, 2023 - September 6, 2024
UBS FINANCIAL SERVICES INC.
September 22, 2022 - November 28, 2022
RAYMOND JAMES & ASSOCIATES, INC.
September 22, 2022 - November 28, 2022
RAYMOND JAMES & ASSOCIATES, INC.
May 7, 2021 - September 27, 2022
UBS FINANCIAL SERVICES INC.
May 6, 2021 - September 27, 2022
UBS FINANCIAL SERVICES INC.
July 3, 2018 - April 6, 2021
MORGAN STANLEY
July 2, 2018 - April 6, 2021
MORGAN STANLEY
October 30, 2014 - February 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2014 - February 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 20, 2011 - August 21, 2013
MORGAN STANLEY
December 20, 2011 - August 21, 2013
MORGAN STANLEY
May 9, 2008 - April 15, 2011
UBS FINANCIAL SERVICES INC.
April 18, 2008 - April 15, 2011
UBS FINANCIAL SERVICES INC.
December 9, 2005 - July 2, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2001 - November 23, 2005
CITICORP INVESTMENT SERVICES
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
Current Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 92 |
| Arbitration | 26 |
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.
