Roberto Hernandez
Professional Summary
Roberto Hernandez, who also goes by Rob Hernandez, is a registered financial advisor currently at INSIGHT SECURITIES, INC. located in Highland Park, Illinois. Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Roberto has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 9 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rob Hernandez
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COUNTRY CAPITAL MANAGEMENT COMPANY
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ONEAMERICA SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
Contact Information
Main Address
600 Central Ave Suite 293, Highland Park, IL 60035Mailing Address
600 Central Ave Suite 293, Highland Park, IL 60035Phone Number
(224) 632-4700Established
Delaware since 11/12/1970Firm Type
CorporationFiscal Year End
JuneFirm Size
Small# of Employees
25SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
12AUM (Assets Under Management)
$4,370,000Disclosures
Regulatory Event
6Arbitration
1Bond
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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.
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Primary Firm SEC Registration
G. A. HORWITZ & CO., INC. | THE HELMSMAN GROUP, INC. | PRECISE SECURITIES - DIVISION OF INSIGHT SECURITIES, INC. | PRECISE SECURITIES - DIVISION OF HORWITZ & ASSOCIATES, INC. | PRECISE INVESTMENT MANAGEMENT | PASSERELLE ADVISORS | MISSION GLOBAL PARTNERS | INTERGLOBAL INVESTMENTS - DIVISION OF INSIGHT SECURITIES INC. | INSURANCE & FINANCIAL SERVICES OF SOUTH FLORIDA, INC. | INSIGHT SECURITIES, INC. | INSIGHT AMERICAS SECURITIES INC | HORWITZ, SCHAKNER & ASSOCIATES, INC. | HORWITZ PHILANTHROPIC ADVISORS | HORWITZ & ASSOCIATES, INC. | GWM PARTNERS
State Registrations and Notice Filings
(8/4/2014)
(10/29/2014)
(3/11/2016)
(8/11/2016)
(5/21/2018)
(3/11/2016)
(3/14/2016)
(8/11/2016)
(8/12/2016)
(3/11/2016)
(3/17/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2003About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2013About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Nov 2003About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Roberto Hernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Hernandez's CRS (Customer Relationship Summary).
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