Individual Firm
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CARLOS FRANCISCO FERNANDEZ
CRD#: 2001383
IA
B
MORGAN STANLEYCRD#: 149777 2330 West Joppa Road
Suite 255
Lutherville, MD 21093
Suite 255
Lutherville, MD 21093
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7/27/2002
Customer Dispute
Denied
6/21/2002
Customer Dispute
Denied
2/7/1995
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 12/3/2013
B
Minnesota 7/27/2022
B
California 6/1/2009
B
Missouri 6/1/2009
B
Colorado 6/3/2015
B
New Hampshire 6/9/2022
B
Connecticut 3/4/2021
B
New Jersey 6/1/2009
B
Delaware 6/1/2009
B
New York 6/1/2009
B
District of Columbia 6/1/2009
B
North Carolina 6/1/2009
B
Florida 6/1/2009
B
Ohio 8/25/2023
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 6/1/2009
B
Rhode Island 6/14/2024
B
Illinois 6/1/2009
B
South Carolina 5/3/2011
B
Indiana 1/26/2018
B
Tennessee 6/1/2009
B
Iowa 4/26/2011
IA
Texas 10/17/2018
B
Kentucky 9/5/2019
B
Texas 10/18/2018
B
Louisiana 2/25/2016
B
Virginia 6/1/2009
B
Maine 9/6/2024
B
Washington 2/26/2016
B
Maryland 6/1/2009
B
West Virginia 4/26/2011
IA
Maryland 6/1/2009
B
Wisconsin 8/25/2023
B
Massachusetts 6/1/2009
B
Wyoming 9/1/2016
B
Michigan 4/26/2011
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | BALTIMORE, MD | |
B | 04/02/2007 - 06/01/2009 | BALTIMORE, MD | |
IA | 01/01/2001 - 04/02/2007 | BALTIMORE, MD | |
B | 11/27/1989 - 04/02/2007 | BALTIMORE, MD |
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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.