Joseph Carlin Fernandez

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2009-06-05

FL RA
APPROVED

Since 2009-06-05

Branch Locations

Safety Harbor, FL • United States

4830 W Kennedy Blvd Ste 550, Tampa, FL 33609 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Securities Inc	Safety Harbor	FL	04/2009	Present
Principal Life Insurance Company	Safety Harbor	FL	04/2009	Present

04/2009 → Present

Principal Securities Inc

Safety Harbor, FL
04/2009 → Present

Principal Life Insurance Company

Safety Harbor, FL

Previous Registrations

2009-03-10 → 2009-06-01

Joe Fernandez, Cfp(R)

Clearwater, FL

Clearwater, FL
1993-08-05 → 2003-07-14

Ameriprise Financial Services, Llc

Clearwater, FL

Other Businesses

FIXED INSURANCE, LIFE, ANNUITIES, DI, LTC, 7/10/15.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2010-05-18

S63 Uniform Securities Agent State Law Examination

2010-05-18

Designations

Certified Financial Planner

View on SEC IAPD