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Hans Hernandez Fired from Cetera Advisors

Jul 18, 2023 Fired Brokers

Hans Hernandez (CRD #: 2109614), a broker formerly registered with Cetera Advisors, allegedly failed to cooperate with an investigation, according to his BrokerCheck record, accessed on July 12, 2023. Read on to learn more about his alleged conduct as a broker.

Termination from Cetera Advisors

On May 2, 2023, Hans Hernandez was fired from Cetera Advisors for allegedly failing to cooperate with an investigation.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

SEC Investigation

On September 27, 2022, the Securities and Exchange Commission launched an investigation into Hans Hernandez concerning his trade allocation practices.

Background Information

Hans Hernandez has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 99TO – Operations Professional Examination
  • Series 57TO – Securities Trader Exam
  • SIE – Securities Industry Essentials Examination
  • Series 55 – Limited Representative-Equity Trader Exam
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

He has also worked for the following firms:

  • Cetera Advisors (CRD#:10299)
  • First Allied Securities (CRD#:32444)
  • Edward Jones (CRD#:250)
  • Generic Trading of Philadelphia (CRD#:44018)
  • E*Trade Professional Trading (CRD#:39293)
  • Fred Alger & Company (CRD#:5300)
  • Worldco (CRD#:24673)
  • EdgeTrade.Com (CRD#:42071)
  • On-Line Investment Services (CRD#:36816)
  • Cygnet Securities (CRD#:28686)
  • First Hanover Securities (CRD#:14469)
  • Patterson Travis (CRD#:16540)
  • H.J. Meyers & Company (CRD#:15609)
  • Hibbard Brown & Company (CRD#:18246)
  • Westfield Financial Corporation (CRD#:8143)

Kurta Law Can Help

If you worked with Hans Hernandez and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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