Individual Firm
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OSCAR JOSE HERNANDEZ
Oscar J Hernandez
CRD#: 1127234
IA
B
MORGAN STANLEYCRD#: 149777 1261 West Causeway Approach
Mandeville, LA 70471
Mandeville, LA 70471
View By:
8/22/2005
Customer Dispute
Denied
State Registrations
B
Alabama 2/19/2025
B
Minnesota 3/24/2021
B
California 4/5/2021
B
Mississippi 3/24/2021
B
Colorado 4/12/2021
B
Missouri 7/13/2022
B
Florida 3/24/2021
B
Montana 11/2/2021
B
Georgia 3/24/2021
B
New York 1/6/2022
B
Illinois 4/14/2021
B
Oregon 11/18/2021
B
Kansas 3/24/2021
B
Texas 3/24/2021
B
Louisiana 3/24/2021
IA
Texas 3/24/2021
IA
Louisiana 3/24/2021
B
Washington 3/24/2021
B
Massachusetts 2/13/2023
B
Wyoming 2/19/2025
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/24/2021
B
Registered with this firm since 3/24/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/22/2013 - 04/12/2021 | MANDEVILLE, LA | |
B | 02/22/2013 - 04/12/2021 | MANDEVILLE, LA | |
IA | 11/12/2010 - 03/07/2013 | MANDEVILLE, LA | |
B | 06/01/2009 - 03/07/2013 | MANDEVILLE, LA | |
B | 02/21/2006 - 06/01/2009 | CORAL GABLES, FL | |
B | 10/17/1988 - 02/21/2006 | NEW ORLEANS, LA | |
B | 01/15/1988 - 10/17/1988 | NEW ORLEANS, LA | |
B | 06/22/1983 - 01/27/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.