CH
Carlos D. Hernandez
LIFEMARK SECURITIES
POOLER, GA
Some features on this profile are disabled
CRD#: 4638766
CH
Professional summary
Carlos D Hernandez, ChFC®, who also goes by Carlos Hernandez, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Pooler, Georgia.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Carlos has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carlos Hernandez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Independent Insurance Agent / Investment related / 133 Magnolia Drive, Pooler, GA 31322 / Start 2/2003/25 hours per month /Life Insurance Sales, LTC Insurance, Health Insurance Sales - servicing existing clients and responding to referrals. Submitting quotes and applications. 2. Rental Property/ Not investment related/133 Magnolia Drive, Pooler GA 31332 /Owener/ Start 07/2007/20 hours per month/Review lease applications, approve repairs and replacement of properties, ensure proper payments of mortgages, insurance and taxes. 3.Roadie Delivery Driver/Not investment related/133 Magnolia Drive, Pooler GA 31332/Product delivery service/Driver/5/2022/20 hours per month/pick up and delivery of small and medium sized packages to small business and individuals.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos D Hernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carlos D Hernandez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 2, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
POOLER, GA
Current
November 2, 2018 - Present
LIFEMARK SECURITIES CORP.
RIA
BD
CRD#: 16204
Ocala, FL
Past
April 30, 2013 - November 1, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
POOLER, GA
Past
March 9, 2012 - April 19, 2013
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
POOLER, GA
Past
March 7, 2012 - November 1, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
October 5, 2010 - February 16, 2012
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
POOLER, GA
Past
August 31, 2009 - February 16, 2012
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
POOLER, GA
Past
March 11, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
HAUPPAUGE, NY
Past
March 11, 2003 - July 14, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SAVANNAH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Georgia(11/2/2018)
IAR
Georgia(11/5/2018)
RR
New York(11/2/2018)
RR
South Carolina(11/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
