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Read MoreJavier Hernandez: FINRA Investigates KCD Financial Advisor
Green Bay, Wisconsin financial advisor Javier Hernandez (CRD# 2298668) is under investigation for potential violations of securities laws and industry regulations. Financial Industry Regulatory Authority records show that he is registered as a broker with KCD Financial, having previously been registered with Cape Securities.
Mr. Hernandez’s BrokerCheck report discloses FINRA’s investigation into his conduct. Filed in January 2026, the disclosure states that the investigation concerns “whether violations of applicable federal securities laws or regulations or FINRA or MSRB rules have occurred.” It does not specify which laws or regulations, nor does it describe the alleged conduct that gave rise to the investigation.
A second disclosure on Mr. Hernandez’s BrokerCheck report concerns an investor complaint against him. Filed in 1999, it alleges that as a representative of First Liberty Investment Group, he made unauthorized trades involving over-the-counter equities. the complaint reached a settlement of $14,000.
An earlier investor complaint, filed in 1999, similarly alleged that as a First Liberty Investment Group representative, he made unauthorized transactions that resulted in losses. The complaint reached a settlement of $29,000.
A third investor complaint, filed in 1999, also alleged that he made unauthorized trades as a First Liberty Investment Group representative. This complaint reached a settlement of $8,406.
According to the Financial Industry Regulatory Authority, Javier Hernandez holds 21 years of securities industry experience. Based in Green Bay, Wisconsin, he has been registered as a broker with KCD Financial since October 2025. His past registrations include Cape Securities, Broad Street Securities, Lloyd Scott & Valenti, First Liberty Investment Group, Greenway Capital Corporation, White Rock Partners, William Scott & Company, and AS Goldmen & Company. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the General Securities Representative Examination, or Series 7. He is licensed in California, Connecticut, the District of Columbia, Florida, Georgia, Idaho, Kentucky, Louisiana, Nevada, New Hampshire, New Jersey, New Mexico, New York, Ohio, Oklahoma, Pennsylvania, South Dakota, Texas, Utah, Vermont, Wisconsin, and Wyoming. (Information current as of January 17, 2026.)
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