Bernard G. Kirkpatrick
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.
Bernard Gould Kirkpatrick, who also goes by Bard Kirkpatrick, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1991. Bernard had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2013 - July 19, 2017
OSAIC INSTITUTIONS, INC.
July 3, 2013 - July 19, 2017
OSAIC INSTITUTIONS, INC.
May 26, 2009 - July 14, 2011
M&T SECURITIES, INC.
May 22, 2009 - July 14, 2011
M&T SECURITIES, INC.
February 12, 2008 - May 28, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
February 12, 2008 - May 28, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
October 19, 2006 - January 30, 2008
CHARLES SCHWAB & CO., INC.
October 19, 2006 - January 30, 2008
CHARLES SCHWAB & CO., INC.
September 26, 2005 - October 10, 2006
ANDERSON & STRUDWICK, INCORPORATED
January 1, 2005 - September 23, 2005
TRANSCOMMUNITY INVESTMENT ADVISORS, INC.
November 18, 2004 - October 10, 2006
ANDERSON & STRUDWICK, INCORPORATED
November 16, 2004 - December 17, 2004
A&S CAPITAL ADVISORS, INC.
May 27, 2004 - November 9, 2004
BB&T INVESTMENT SERVICES, INC.
January 12, 2004 - November 9, 2004
BB&T INVESTMENT SERVICES, INC.
October 19, 2001 - October 16, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
June 14, 2000 - November 12, 2001
NATHAN & LEWIS SECURITIES, INC.
January 24, 2000 - June 14, 2000
GUARANTY BROKERAGE SERVICES, INC.
March 4, 1993 - January 16, 1998
CRESTAR SECURITIES CORPORATION
May 10, 1991 - August 27, 1991
CRESTAR SECURITIES CORPORATION
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
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
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
