Neil S. 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.
Neil Steven Bernstein was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1983. Neil had worked at 5 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 1986 - June 5, 1986
MAIN STREET SECURITIES, INC.
March 9, 1985 - July 29, 1985
INTERNATIONAL SECURITIES GROUP, LTD.
March 1, 1985 - March 19, 1985
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 2, 1983 - August 20, 1986
SPENCER OLSEN SECURITIES CORPORATION
March 23, 1983 - May 3, 1983
VANTAGE SECURITIES OF COLORADO, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MAIN STREET SECURITIES, INC.
CRD#: 8522 / SEC#: , 8-25692
Contact information
Documents
Red Flags
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