Paul R. 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.
Paul Rene Hernandez was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2007. Paul had worked at 4 firms and has passed the Series 63, Series 65, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2011 - May 17, 2012
OAK TREE SECURITIES, INC.
April 1, 2009 - December 15, 2010
PRUCO SECURITIES, LLC.
April 1, 2009 - December 15, 2010
PRUCO SECURITIES, LLC.
February 12, 2009 - March 18, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
November 7, 2007 - October 16, 2008
MORGAN STANLEY & CO. LLC
October 1, 2007 - October 16, 2008
MORGAN STANLEY & CO. LLC
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
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
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.
