Jose F. Fuentes III – Fort Worth, TX Merrill Lynch Financial Advisor: A Detailed Investor Investigation
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Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has launched an independent investigation regarding Jose F. Fuentes III (CRD #8007089), a Fort Worth, TX-based financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691). If you are an investor concerned about your account managed by Jose Fuentes, understanding these findings is essential. Our firm’s investigation is focused on providing you with key insights and helping investors take proactive steps to protect their interests.
Who Is Jose F. Fuentes III?
- Name: Jose F. Fuentes III
- Location: Fort Worth, Texas (4200 Amon Carter Blvd, Fort Worth, TX 76155)
- Current Broker-Dealer: Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, since July 2025)
- Previous Employers:
- Thrivent Investment Management (March 2025 – April 2025)
- Florida Financial Advisors, LLC (November 2024 – January 2025)
- FINRA CRD: 8007089
- Licensing: General Securities Representative (licensed through FINRA, NYSE, Nasdaq, and other exchanges)
Red Flags – Disclosure Events and Complaints
When considering any financial professional, reviewing their background thoroughly is crucial. Investors should be aware of several disclosures associated with Jose F. Fuentes III:
| Disclosure/Complaint | Details | Date/Status |
|---|---|---|
| Employment Termination / Discharge | Discharged from Thrivent Investment Management for failures related to timely Form U4 disclosure update. | April 2025 |
| Outstanding Civil Lien | Civil lien filed due to unpaid child support totaling $13,354. | Filed February 2025 (outstanding as of September 2025) |
| Disclosure Failures |
|
2025 |
Complete List of Disclosure Issues
- Form U4 Disclosure Failure: After joining Thrivent Investment Management, Mr. Fuentes allegedly did not update his regulatory Form U4 promptly to reflect material changes, as required by FINRA rules.
- Outstanding Lien: A civil lien for $13,354 pertaining to unpaid child support remains unresolved as of September 2025.
- Employment Termination: Terminated from Thrivent Investment Management due to the above-referenced disclosure failures.
What Do These Issues Mean for Investors?
If you’re an investor, especially one who has worked with Jose F. Fuentes III, it is crucial to understand the potential implications of these disclosure events:
- Employment termination and disclosure failures can be warning signs regarding a financial professional’s regulatory compliance and transparency habits.
- Outstanding liens may indicate personal financial difficulties, which regulators cite as a factor increasing the potential for conflicts of interest.
- Regulatory filings that are not kept up to date can impact your ability to assess an advisor’s fitness to oversee your investments.
Is Your Account Affected?
If your account was handled by Jose F. Fuentes III, here are important next steps to consider:
- Review your account statements for unusual transactions, unauthorized trades, or unexplained losses.
- Contact Haselkorn & Thibaut for a confidential consultation if you have any concerns or notice discrepancies you cannot explain.
- Understand that you have the right to pursue recovery through FINRA arbitration if you’ve lost money due to broker negligence, disclosure violations, or regulatory infractions.
About Haselkorn & Thibaut: Your Advocates in Securities Fraud
Haselkorn & Thibaut (investmentfraudlawyers.com) is a nationally recognized securities fraud law firm with:
- Over 50 years’ experience in investment loss recovery
- A 98% success rate
- Millions recovered for clients
- A strict no recovery, no fee policy
Have Questions or Concerns?
Contact Haselkorn & Thibaut at 1-888-994-8066 for a free, confidential, and no-obligation review of your situation.
Why Contact Us?
- Our investigation is ongoing and focuses exclusively on the facts and regulatory filings related to Jose F. Fuentes III and his employment at Merrill Lynch.
- We are here to help you determine if you have a valid claim to recover investment losses—and to advise you every step of the way.
- All consultations are handled professionally, confidentially, and free of charge.
Take Proactive Steps Now
If you or someone you know invested with Jose F. Fuentes III at Merrill Lynch or a prior firm, don’t wait. Early identification of issues can protect your portfolio and your peace of mind.
The advisors at Haselkorn & Thibaut bring their experience and dedication to your case, offering a clear path forward. If you lost money or suspect that your account management did not meet acceptable industry standards, reach out to our team today.
Get answers. Explore your options. Call Haselkorn & Thibaut at 1-888-994-8066 for a free case review.
Haselkorn & Thibaut – Helping investors nationwide recover their investment losses.
