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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Fernandez is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., based in Rancho Cucamonga, CA. Richard has over 15 years of experience in the financial services industry, having previously worked at J.P. Morgan Securities LLC, LPL Financial LLC, Chase Investment Services Corp., and Wamu Investments, Inc. Richard specializes in providing investment advice and services to a wide range of clients, including individuals, businesses, corporations, and institutions. He is registered to offer securities in Arizona, California, Florida, Nevada, Oregon, Texas, and Washington. Richard holds the Series 6, 7, 63, and 66 licenses and the SIE exam. He is committed to helping clients reach their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
08/16/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RANCHO CUCAMONGA CA)
CA
07/17/2013 - 04/14/2016
J.P. MORGAN SECURITIES LLC (NORCO CA)
CA
11/16/2012 - 07/23/2013
LPL FINANCIAL LLC (CORONA CA)
CA
10/01/2012 - 11/20/2012
J.P. MORGAN SECURITIES LLC (CHINO CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CHINO CA)
CA
08/27/2007 - 05/02/2009
WAMU INVESTMENTS, INC. (CHINO CA)
CA
02/17/2005 - 08/24/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
BOTH
Issued 04/15/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2011
Series 7 - General Securities Representative Examination
BC
Issued 02/16/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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