Erick 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.
Erick Fernandez was a registered financial professional .
Erick is a previously registered financial professional and started their career in finance in 2015. Erick had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2022 - January 10, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 16, 2022 - January 10, 2025
FIDELITY BROKERAGE SERVICES LLC
July 2, 2021 - August 20, 2021
TRADESTATION SECURITIES, INC.
June 25, 2019 - July 22, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 13, 2019 - July 22, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 22, 2017 - October 10, 2017
TRUIST INVESTMENT SERVICES, INC.
April 24, 2015 - November 13, 2015
RAYMOND JAMES & ASSOCIATES, INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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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