Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
LEONARD CHAD FERNANDEZ
CHAD FERNANDEZ, LEONARD C FERNANDEZ, LEONARD Chad FERNANDEZ, LEONARD FERNANDEZ
CRD#: 5430017
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 3102 West End Avenue
Suite 200
Nashville, TN 37203
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (<1 year)2 FIRMS2009 - 2010 (<1 year)2 FIRMS2018 - 2021 (3 years)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2008 (<1 year)IASAN ANTONIO CAPITAL MANAGEMENT... (CRD# 150508)2013 - 2014 (<1 year)IAGLENMORE ADVISORS, LLC (CRD# 152975)2010 - 2011 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - 2008 (<1 year)
License(s)

State Registrations

B
California 3/19/2024
IA
Tennessee 2/9/2024
B
Florida 3/19/2024
B
Texas 3/19/2024
B
Pennsylvania 2/9/2024
IA
Texas 3/20/2024
B
Tennessee 2/9/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
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
MORGAN STANLEY (CRD#:149777)
3102 West End Avenue Suite 200, Nashville, TN 37203
Registered with this firm since 2/9/2024
B
MORGAN STANLEY (CRD#:149777)
3102 West End Avenue Suite 200, Nashville, TN 37203
Registered with this firm since 2/9/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/04/2023 - 02/13/2024 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) Nashville, TN
B
 01/04/2023 - 02/13/2024 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) NASHVILLE, TN
IA
 03/15/2022 - 01/06/2023 WILEY BROS.-AINTREE CAPITAL, LLC (CRD#:3767) NASHVILLE, TN
B
 03/10/2022 - 01/06/2023 WILEY BROS.-AINTREE CAPITAL, LLC (CRD#:3767) NASHVILLE, TN
IA
 09/26/2018 - 12/01/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NASHVILLE, TN
B
 06/25/2018 - 12/01/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) NASHVILLE, TN
IA
 08/29/2013 - 02/19/2014 SAN ANTONIO CAPITAL MANAGEMENT, LLC (CRD#:150508) SAN ANTONIO, TX
IA
 10/13/2010 - 12/09/2011 GLENMORE ADVISORS, LLC (CRD#:152975) ATLANTA, GA
IA
 06/01/2009 - 04/08/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) ATLANTA, GA
B
 06/01/2009 - 04/08/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) ATLANTA, GA
IA
 10/22/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATLANTA, GA
B
 10/17/2008 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ATLANTA, GA
IA
 02/07/2008 - 10/20/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
B
 12/14/2007 - 10/20/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ATLANTA, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.