Norberto Fernandez
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.
Norberto Fernandez, who also goes by Norbert Fernandez, was a registered financial professional .
Norberto is a previously registered financial professional and started their career in finance in 2006. Norberto had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2015 - April 6, 2015
NEWPORT COAST ASSET MANAGEMENT, INC.
December 23, 2009 - June 9, 2016
NEWPORT COAST SECURITIES, INC.
August 5, 2009 - June 9, 2016
NEWPORT COAST SECURITIES, INC.
December 15, 2008 - December 23, 2009
B. RILEY WEALTH ADVISORS, INC.
April 22, 2008 - August 18, 2009
NATIONAL SECURITIES CORPORATION
November 17, 2006 - April 29, 2008
OSAIC SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST ASSET MANAGEMENT, INC.
CRD#: 170311 / SEC#: 801-80370
Contact information
Red Flags
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