Hernando Cuenca
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.
Hernando Cuenca was a registered financial professional .
Hernando is a previously registered financial professional and started their career in finance in 1971. Hernando had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1997 - May 7, 2014
OAKBRIDGE FINANCIAL SERVICES
January 13, 1990 - June 17, 1997
ROBERT THOMAS SECURITIES, INC
October 5, 1988 - December 31, 1989
WESTPORT FINANCIAL GROUP, INC.
November 30, 1984 - September 14, 1988
MORGAN STANLEY DW INC.
March 5, 1973 - December 17, 1984
WADDELL & REED
May 1, 1971 - April 19, 1973
EQUITY FUNDING SECURITIES CORP
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
Series 1
Date: 4/24/1971
Registered Representative ExaminationCurrent Firm
OAKBRIDGE FINANCIAL SERVICES
CRD#: 16323 / SEC#: , 8-33729
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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