Jose A. 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.
Jose Antonio Hernandez, who also goes by Tony Hernandez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2003. Jose had worked at 5 firms and has passed the Series 65, Series 63 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
March 26, 2014 - June 23, 2014
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 16, 2011 - December 31, 2012
KRIEGER CAPITAL MANAGEMENT, LLC
January 14, 2009 - March 3, 2011
BNP PARIBAS SECURITIES CORP.
May 5, 2005 - June 10, 2005
ABN AMRO INCORPORATED
February 5, 2003 - April 21, 2004
LEHMAN BROTHERS INC.
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
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
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.
