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Richard Andrew Fernandez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rancho Cucamonga, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-08-16
CA RA APPROVED 2016-05-10
  • TX RA
    APPROVED_RES
    Since 2016-08-16
  • CA RA
    APPROVED
    Since 2016-05-10

Branch Locations

11570 - 4Th St, Rancho Cucamonga, CA 91730 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America, N.A. Rancho Cucamonga CA 04/2016 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rancho Cucamonga CA 04/2016 Present
Previous Registrations
  • 2013-07-17 → 2016-04-14
    J.P. Morgan Securities Llc
    Riverside, CA
    Norco, CA
  • 2012-11-26 → 2013-07-23
    Lpl Financial Llc
    Corona, CA
    San Diego, CA
    Corona, CA
  • 2012-10-01 → 2012-11-20
    J.P. Morgan Securities Llc
    Fontana, CA
    Chino, CA
    Eastvale, CA
  • 2011-04-18 → 2012-10-01
    Chase Investment Services Corp.
    Chino, CA
    Eastvale, CA
    Fontana, CA
    Fontana, CA
    Fontana, CA
    Chino, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-04-15
S63 Uniform Securities Agent State Law Examination 2005-04-01
  • S66 Uniform Combined State Law Examination
    2011-04-15
  • S63 Uniform Securities Agent State Law Examination
    2005-04-01
Other Names
  • Ricky Andrew Fernandez
  • Richard Fernandez

View on SEC IAPD

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Other Offices

OSAIC WEALTH, INC. · RANCHO CUCAMONGA, CA
LPL FINANCIAL LLC · RANCHO CUCAMONGA, CA
PRIVATUS · RANCHO CUCAMONGA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RANCHO CUCAMONGA, CA
LPL ENTERPRISE, LLC · RANCHO CUCAMONGA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Rancho Cucamonga, CA
EDWARD JONES · RANCHO CUCAMONGA, CA
PDE WEALTH ADVISORS, LLC · RANCHO CUCAMONGA, CA

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