David J. Bernstein

Some features on this profile are disabled

CRD#: 1061905

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.

David John Bernstein was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1982. David had worked at 13 firms and has passed the Series 63, Series 3, Series 7 and Series 24 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.

Blog Corner

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

January 6, 1998 - June 10, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

February 28, 1996 - January 1, 1997

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

October 27, 1994 - June 21, 1995

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

Past

July 8, 1994 - October 27, 1994

D. BLECH & COMPANY, INCORPORATED

CRD#: 26063

NEW YORK, NY

Past

August 4, 1993 - May 27, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

June 29, 1993 - August 11, 1993

JOSEPH ROBERTS & CO., INC.

CRD#: 15971

POMPANO BEACH, FL

Past

June 12, 1990 - June 4, 1991

KOBER FINANCIAL CORP.

CRD#: 17551

ENGLEWOOD, CO

Past

August 21, 1989 - June 27, 1990

HORIZONS INTERNATIONAL CORPORATION

CRD#: 20530

Past

January 25, 1989 - July 22, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

June 10, 1988 - January 26, 1989

ALLIED CAPITAL GROUP, INC.

CRD#: 13146

Past

September 21, 1984 - September 25, 1984

CENTRE/FOUR SECURITIES, INC.

CRD#: 14625

Past

September 14, 1984 - July 22, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

January 1, 1984 - September 24, 1984

GREENTREE SECURITIES CORP.

CRD#: 7372

Past

August 26, 1982 - December 8, 1983

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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: 6/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/18/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/22/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/7/1993

General Securities Principal Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David J. Bernstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERIT CAPITAL ASSOCIATES, INC.

BILTMORE SECURITIES, INC.

D. BLECH & COMPANY, INCORPORATED

CHATFIELD DEAN & CO., INC.

JOSEPH ROBERTS & CO., INC.

KOBER FINANCIAL CORP.

HORIZONS INTERNATIONAL CORPORATION

THE STUART-JAMES COMPANY, INCORPORATED

ALLIED CAPITAL GROUP, INC.

CENTRE/FOUR SECURITIES, INC.

THE STUART-JAMES COMPANY, INCORPORATED

GREENTREE SECURITIES CORP.

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/1993

Series 3

Date: 10/18/1995

Series 7

Date: 6/22/1993

Series 24

Date: 9/7/1993

Current Firm

GUNNALLEN FINANCIAL, INC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUNNALLEN FINANCIAL, INC

TRUST BUT VERIFY

Similar Advisors