Lorraine H. Hernandez Forbes
Professional summary
Lorraine Hernandez Hernandez Forbes, who also goes by Lorraine Hernandez Forbes, Lorraine Hernandez, Lorraine Hernandez-forbes, Lorraine Hernandezforbes, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Lake Worth, Florida.
Lorraine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Lorraine has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lorraine Hernandez Hernandez Forbes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lorraine Hernandez Hernandez Forbes's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #2: 5900 N Andrews Ave 2nd Floor, Fort Lauderdale, FL 33309February 1, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 5900 N Andrews Ave 2nd Floor, Fort Lauderdale, FL 33309December 9, 2019 - January 28, 2023
J.P. MORGAN SECURITIES LLC
November 8, 2019 - January 28, 2023
J.P. MORGAN SECURITIES LLC
October 25, 2013 - December 6, 2019
PNC WEALTH MANAGEMENT LLC
August 5, 2013 - December 6, 2019
PNC WEALTH MANAGEMENT LLC
October 15, 2012 - August 6, 2013
BB&T INVESTMENT SERVICES, INC.
July 23, 2010 - October 12, 2012
LPL FINANCIAL LLC
April 7, 2010 - July 6, 2010
LPL FINANCIAL LLC
September 24, 2007 - March 11, 2010
AMFIN INVESTMENT SERVICES, INC.
September 22, 2004 - June 9, 2006
AMFIN INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/1/2023)
(2/2/2023)
(2/8/2024)
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(1/22/2024)
(1/22/2024)
(1/12/2024)
(1/12/2024)
(1/16/2024)
(1/16/2024)
(2/6/2024)
(2/6/2024)
(1/12/2024)
(1/12/2024)
(2/7/2024)
(2/8/2024)
(2/7/2024)
(2/7/2024)
(1/12/2024)
(1/12/2024)
Exams
FINRA
Current Firm
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
