Robert J. Bernhardt

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CRD#: 1021619

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Joseph Bernhardt was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 30, 2002 - July 2, 2007

MBSC, LLC

CRD#: 42430

UNIONDALE, NY

Past

August 17, 1982 - August 8, 2023

BNY MELLON SECURITIES CORPORATION

CRD#: 231

UNIONDALE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/16/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 5/24/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/28/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 2/14/2001

Registered Options Principal Examination

Current Firm

MBSC, LLC

DREYFUS FINANCIAL SERVICES CORPORATION | MBSC, LLC

CRD#: 42430 / SEC#: , 8-49852

Terminated by SEC on 09/07/2007

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 04/10/2002

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DREYFUS SERVICE CORPORATION	SOLE MEMBER	231
BRADLE, KENNETH JAMES	CHIEF OPERATING OFFICER & MANAGER	1827956
CONNOLLY, JOSEPH WARREN	CCO (INVESTMENT ADVISORY BUSINESS)	1144952
JAMISON, RONALD MICHAEL	CHIEF LEGAL OFFICER, SECRETARY	1861359
KELEHER, MARK ANDREW	HEAD OF TRANSITION MANAGEMENT	2414937
MOSSMAN, DAVID KENT	HEAD OF RETAIL SALES	2503983
OFFICER, JOHN DAVID	PRESIDENT, MANAGER	2789523
PIERCE, GARY ROBERT	CHIEF FINANCIAL OFFICER, MANAGER	2053491
STOREN, STEPHEN JOSEPH	CHIEF COMPLIANCE OFFICER ("CCO")	1180119

Disclosures

Regulatory Event

Red Flags

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