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RICHARD ANDREW FERNANDEZ
RICHARD FERNANDEZ, RICKY ANDREW FERNANDEZ
CRD#: 4835020
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 11570 - 4TH ST
RANCHO CUCAMONGA, CA 91730
Registration History
200620082010201220142016201820202022202420262 FIRMS2012 - 2012 (<1 year)2 FIRMS2012 - 2013 (<1 year)2 FIRMS2013 - 2016 (2 years)2 FIRMS2016 - Present (8 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2012 (3 years)BWAMU INVESTMENTS, INC. (CRD# 599)2007 - 2009 (1 year)BWM FINANCIAL SERVICES, INC. (CRD# 599)2005 - 2005 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
Disclosure(s)
View By:
4/20/2016
Financial
Final
License(s)

State Registrations

B
Arizona 7/26/2016

B
Oregon 9/1/2016

B
California 5/10/2016

B
Texas 8/1/2016

IA
California 5/10/2016

IA
Texas 8/16/2016

B
Florida 7/12/2016

B
Washington 1/10/2020

B
Nevada 7/20/2016

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

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

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)
11570 - 4TH ST, RANCHO CUCAMONGA, CA 91730
Registered with this firm since 5/10/2016

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
11570 - 4TH ST, RANCHO CUCAMONGA, CA 91730
Registered with this firm since 5/9/2016

Previous Registration(s)
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IA
07/17/2013 - 04/14/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) NORCO, CA
B
07/17/2013 - 04/14/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) NORCO, CA
IA
11/26/2012 - 07/23/2013 LPL FINANCIAL LLC (CRD#:6413) CORONA, CA
B
11/16/2012 - 07/23/2013 LPL FINANCIAL LLC (CRD#:6413) CORONA, CA
IA
10/01/2012 - 11/20/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) CHINO, CA
B
10/01/2012 - 11/20/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) CHINO, CA
IA
04/18/2011 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHINO, CA
B
05/02/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHINO, CA
B
08/27/2007 - 05/02/2009 WAMU INVESTMENTS, INC. (CRD#:599) CHINO, CA
B
02/17/2005 - 08/24/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) IRVINE, CA
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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.