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MARY GRISEL FERNANDEZ
GRISEL FERNANDEZ, MARY SULLIVAN
CRD#: 4319620
IA
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WELLS FARGO ADVISORSCRD#: 19616 CHARLOTTE, NC
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Disclosures
24
Years of Experience
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State Registrations
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Alabama 10/2/2009
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Mississippi 10/2/2024
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Arizona 9/5/2024
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Missouri 9/26/2012
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California 4/6/2010
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New Jersey 10/14/2010
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Colorado 9/5/2024
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New York 9/24/2008
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Connecticut 9/5/2024
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North Carolina 8/26/2008
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Delaware 2/11/2025
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North Carolina 8/26/2008
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District of Columbia 6/13/2022
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Ohio 9/9/2009
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Florida 8/26/2008
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Oregon 11/15/2024
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Georgia 11/1/2017
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Pennsylvania 10/27/2022
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Hawaii 11/13/2024
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Puerto Rico 9/5/2024
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Illinois 9/5/2024
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South Carolina 8/26/2008
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Iowa 9/5/2024
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Tennessee 9/5/2024
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Kansas 9/5/2024
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Texas 9/8/2021
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Kentucky 9/5/2024
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Texas 9/10/2021
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Maryland 9/8/2009
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Virginia 8/26/2008
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Massachusetts 3/16/2023
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Wisconsin 11/13/2024
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Michigan 9/5/2024
SRO Registrations
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Registered with this firm since 8/26/2008
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Registered with this firm since 8/26/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/26/2005 - 08/11/2008 | CHARLOTTE, NC | |
B | 10/03/2005 - 08/11/2008 | CHARLOTTE, NC | |
B | 05/01/2001 - 10/11/2005 | NEW YORK, NY | |
B | 12/04/2001 - 01/06/2003 | HOUSTON, TX | |
B | 04/03/2001 - 05/01/2001 | NEW YORK, NY | |
B | 03/14/2001 - 04/02/2001 | NEW YORK, NY |
CHARLOTTE, NC
10/26/2005 - 08/11/2008
CHARLOTTE, NC
10/03/2005 - 08/11/2008
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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.
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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.