Bernadette Stevens
Professional summary
Bernadette Stevens was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bernadette is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Bernadette had worked at 6 firms, which includes LH ROSS & COMPANY INC., GRUNTAL & CO. L.L.C., UBS FINANCIAL SERVICES INC., CIBC WORLD MARKETS CORP., PRUDENTIAL EQUITY GROUP LLC, J. B. HANAUER & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 1996 - May 17, 1996
LH ROSS & COMPANY, INC.
February 10, 1992 - April 11, 1995
GRUNTAL & CO., L.L.C.
May 18, 1988 - January 21, 1992
UBS FINANCIAL SERVICES INC.
July 29, 1985 - July 12, 1988
CIBC WORLD MARKETS CORP.
September 16, 1982 - August 12, 1985
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1982 - September 21, 1982
J. B. HANAUER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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