Alan W. Bernstein
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.
Alan Wolfe Bernstein, who also goes by Alan W Bernstein, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 4 firms and has passed the Series 63, Series 7, Series 22, Series 53, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2001 - April 19, 2002
MERCANTILE BROKERAGE SERVICES, INC.
January 13, 1994 - December 21, 2001
MID ATLANTIC INVESTOR SERVICES, INC.
January 8, 1991 - January 13, 1994
FERRIS, BAKER WATTS, LLC
March 2, 1983 - December 19, 1990
ARUNDEL SECURITIES, INC.
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
MERCANTILE BROKERAGE SERVICES, INC.
CRD#: 6784 / SEC#: , 8-18210
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCANTILE BROKERAGE SERVICES HOLDING, LLC | 100% SHAREHOLDER | |
| DAVIS, CHRISTOPHER HARDY | SENIOR VICE PRESIDENT - BRANCH DISTRIBUTION | 2413772 |
| DEARDEN, MARSHALL ALAN | SROP | 1386138 |
| FIDDLE, JOEL HOWARD | CROP | 1138410 |
| GREBENSTEIN, SCOTT ALBERT | SR. VICE PRESIDENT; CHIEF OPERATING OFFICER; FINOP | 1507126 |
| NORRIS, NATALIE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2377634 |
| PEREMEL, HAROLD N | DIRECTOR | 360115 |
| PRINCINSKY, MARY-ANN | CHIEF ADMISTRATIVE OFFICER/SR. VICE PRESIDENT | 2623736 |
| STEIN, BONNIE BRESSLER | PRESIDENT/CEO/DIRECTOR | 2309775 |
Disclosures
| Regulatory Event | 2 |
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.
