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Gerardo A. Fernandez

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CRD#: 4739737
GF

Professional summary

Gerardo A Fernandez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gerardo is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Gerardo had worked at 4 firms, which includes PEAK SECURITIES CORPORATION, ALLSTATE FINANCIAL SERVICES LLC, VESTPOINT SECURITIES INC., NOWTRADE CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jerry A Fernandez

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 5, 2006 - May 14, 2008

PEAK SECURITIES CORPORATION

BD
CRD#: 107907
CORAL SPRINGS, FL
Past

May 3, 2005 - September 28, 2005

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

March 5, 2004 - April 7, 2005

VESTPOINT SECURITIES, INC.

BD
CRD#: 27260
TAMPA, FL
Past

January 27, 2004 - March 22, 2004

NOWTRADE, CORP.

BD
CRD#: 47596
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 1/22/2004
General Securities Representative Examination

Current Firm

PS
PEAK SECURITIES CORPORATION
INTER-AMERICAN SECURITIES, INC. | PEAK SECURITIES CORPORATION

CRD#: 107907 / SEC#: , 8-53066

BD
Terminated by SEC on 03/08/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 10/02/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PEAK CAPITAL CORPORATIONOWNER
DUBE, DAVID WILLIAMPRESIDENT/CHIEF COMPLIANCE OFFICER3041983
MICHEL, JEFFREY WAYNEVICE PRESIDENT/REGISTERED OPTIONS PRINCIPAL & SROP/CROP2307698
PIDGEON, PHILLIP DFINANCIAL AND OPERATIONS PRINCIPAL4451631

Disclosures

Arbitration1

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.

Company Information

PEAK SECURITIES CORPORATION

CRD#: 107907

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