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Roberto A Fernandez
ROBERTO A FERNANDEZ, ROBERTO ALEJANDRO FERNANDEZ, ROBERTO A FERNANDEZ CUZA
CRD#: 1404389
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 BRICKELL AVE
MIAMI, FL 33131
Registration History
2002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - Present (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - Present (17 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2002 - 2007 (5 years)
Disclosure(s)
View By:
1/7/2021
Customer Dispute
Withdrawn
8/6/2019
Customer Dispute
Settled
11/19/2018
Customer Dispute
Settled
6/29/2017
Customer Dispute
Settled
12/9/2015
Customer Dispute
Settled
7/10/2012
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Delaware 10/26/2022

B
North Carolina 11/2/2022

B
Florida 10/11/2007

B
Puerto Rico 10/11/2007

IA
Florida 5/22/2020

B
Texas 5/1/2009

B
Georgia 4/2/2013

IA
Texas 6/22/2009

B
Massachusetts 2/27/2017

B
Virgin Islands 10/11/2007

B
New Jersey 7/28/2023

B
Virginia 10/29/2013

B
New York 8/25/2014

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
15 2ND ST / 15 CALLE 2, GUAYNABO, PR 00968
Registered with this firm since 6/22/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
15 2ND ST / 15 CALLE 2, GUAYNABO, PR 00968
Registered with this firm since 10/11/2007

Previous Registration(s)
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B
06/21/2002 - 10/18/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN JUAN, PR
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B
Broker
IA
Investment Adviser
Disclosures
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.