Leonardo Hernandez

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CRD#: 4807141

Professional summary

Leonardo Hernandez was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leonardo Hernandez, who also goes by Lenny Hernandez, Leonardo Hernandez III, Leonardo Hernandez III, Leonardo Hernandez, was a registered financial professional .

Leonardo is a previously registered financial professional and started their career in finance in 2004. Leonardo had worked at 18 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lenny Hernandez | Leonardo Hernandez Iii | Leonardo Hernandez Iii | Leonardo 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)02/15/2022 - First Investments - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2022 2)01/12/2023 - FRG Holdings ( LPBD) - Not Investment Related - Limited Purpose Broker Dealer

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

March 3, 2023 - November 9, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Lynbrook, NY

Past

March 3, 2023 - November 9, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Lynbrook, NY

Past

April 19, 2022 - March 14, 2023

FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC

CRD#: 170845

Merrick, NY

Past

March 3, 2022 - March 17, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

MERRICK, NY

Past

March 3, 2022 - March 17, 2023

LPL FINANCIAL LLC

CRD#: 6413

MERRICK, NY

Past

June 13, 2019 - March 4, 2022

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

REGO PARK, NY

Past

May 13, 2019 - March 4, 2022

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

REGO PARK, NY

Past

October 26, 2018 - May 9, 2019

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

New York, NY

Past

October 23, 2018 - May 9, 2019

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

New York, NY

Past

September 6, 2018 - October 31, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

FLUSHING, NY

Past

December 3, 2015 - July 10, 2018

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

New York, NY

Past

December 2, 2015 - July 10, 2018

HSBC SECURITIES (USA) INC.

CRD#: 19585

New York, NY

Past

June 30, 2015 - December 3, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

NEW YORK, NY

Past

June 30, 2015 - December 3, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

May 15, 2015 - June 24, 2015

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

NEW YORK, NY

Past

May 12, 2015 - June 24, 2015

SANTANDER SECURITIES LLC

CRD#: 41791

NEW YORK, NY

Past

August 25, 2014 - April 17, 2015

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

NEW YORK, NY

Past

August 18, 2014 - April 17, 2015

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

NEW YORK, NY

Past

February 28, 2013 - July 29, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

February 28, 2013 - July 29, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 6, 2009 - March 8, 2013

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

May 6, 2009 - March 8, 2013

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

September 8, 2008 - February 17, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BAYSIDE, NY

Past

August 28, 2008 - February 17, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BAYSIDE, NY

Past

March 5, 2008 - August 27, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

NEW YORK, NY

Past

March 5, 2008 - August 27, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

NEW YORK, NY

Past

March 4, 2008 - August 27, 2008

TD AMERITRADE, INC.

CRD#: 7870

NEW YORK, NY

Past

February 19, 2008 - February 25, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

WOODHAVEN, NY

Past

February 19, 2008 - February 25, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WOODHAVEN, NY

Past

March 30, 2006 - February 7, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MANHASSET, NY

Past

December 21, 2005 - April 20, 2006

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

August 15, 2005 - October 11, 2005

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

NEW YORK, NY

Past

August 15, 2005 - October 11, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

May 12, 2005 - August 24, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 20, 2004 - April 29, 2005

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

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".

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059 / SEC#: 801-3387, 8-8177

RIA

Registered Investment Advisory firm - SEC (2/23/1964 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/9/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2004

General Securities Representative Examination

Current Firm

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059 / SEC#: 801-3387, 8-8177

RIA

Registered Investment Advisory firm - SEC (2/23/1964 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

388 Greenwich Street Tower Building, New York, NY 10013

Mailing Address

Registration Department 540 Crosspoint Parkway, Getzville, NY 14068

Phone number

(212) 816-6000

Established

New York since 10/15/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,903

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CITIGROUP GLOBAL MARKETS INC. INVESTMENT ADVISORY PROGRAMS (7/20/2025)

CITIGROUP GLOBAL MARKETS, INC. ALTERNATIVE INVESTMENTS PLATFORM (7/16/2025)

CITIGROUP GLOBAL MARKETS INC. AND CITI PRIVATE BANK FINANCIAL PLANNING SERVICES (3/27/2025)

CITIGROUP GLOBAL MARKETS INC. CITI WEALTH BUILDER PROGRAM (3/27/2025)

FINANCIAL PLANNING SERVICES FOR CITI PERSONAL WEALTH MANAGEMENT CLIENTS (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIGROUP FINANCIAL PRODUCTS INC.	100% SHAREHOLDER
BARRATT, CHRISTOPHER	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP)	5659131
CHIRICO, JOHN A	DIRECTOR	2916366
CONWAY, JOHN JAMES	PRINCIPAL FINANCIAL OFFICER (INTERIM)	1584619
DHOUIBI, STEPHANIE ANISSA	DIRECTOR	7189271
KLEIN, ROBERT FRANCIS	CO-GENERAL COUNSEL	2937015
MESHEL, ADAM REID	CO-GENERAL COUNSEL	3101145
PLATT, DANA LYNN	CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES	6123347
RICHARDSON, CYRUS BEGLEY III	CHIEF COMPLIANCE OFFICER	5284855
VALDERRABANO, VALENTIN LUIS	DIRECTOR	7588283
VAROUS, DINA	DIRECTOR/CEO/PRESIDENT/CHAIRWOMAN	5012034

Regulatory assets under management

Total Number of Accounts	56,879
AUM (Assets Under Management)	$ 46,870,946,575

Disclosures

Regulatory Event	587
Civil Event	5
Arbitration	641

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/28/2025	Cover Page	Report
02/28/2024	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Leonardo Hernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MML INVESTORS SERVICES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CITIGROUP GLOBAL MARKETS INC.

NYLIFE SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

EQUITABLE ADVISORS, LLC

S.W. BACH & COMPANY

Primary Firm SEC Registration

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/9/2004

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2004

Current Firm

CITIGROUP GLOBAL MARKETS INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CITIGROUP GLOBAL MARKETS INC.

TRUST BUT VERIFY

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