John C. Hernandez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Carl Hernandez II, who also goes by John Carl Hernandez Jr, John Carl Hernandez Jr., John Carl Hernandez, John Hernandez, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2005. John had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2019 - March 10, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2019 - March 10, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 2017 - October 5, 2017
AVANTAX ADVISORY SERVICES
August 2, 2013 - October 5, 2017
AVANTAX INVESTMENT SERVICES, INC.
June 25, 2008 - October 2, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
June 25, 2008 - October 2, 2009
FIRST COMMAND BROKERAGE SERVICES, INC.
June 5, 2006 - April 16, 2008
TD AMERITRADE, INC.
January 27, 2006 - April 16, 2008
TD AMERITRADE, INC.
November 21, 2005 - January 30, 2006
TD AMERITRADE CLEARING, INC.
September 1, 2005 - October 24, 2005
EQUITABLE ADVISORS, LLC
August 17, 2005 - October 24, 2005
EQUITABLE ADVISORS, LLC
May 12, 2005 - June 9, 2005
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
