Bernard 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.
Bernard Bernstein was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1983. Bernard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2022 - January 23, 2024
NYLIFE SECURITIES LLC
April 12, 2016 - March 21, 2022
MML INVESTORS SERVICES, LLC
November 9, 2001 - May 18, 2005
ALLSTATE FINANCIAL SERVICES, LLC
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
February 15, 2001 - August 31, 2001
SSI SECURITIES CORP.
February 17, 2000 - February 8, 2001
VOYA FINANCIAL ADVISORS, INC.
June 25, 1998 - November 24, 1999
UBS FINANCIAL SERVICES INC.
October 28, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 28, 1996 - December 17, 1998
SIGNATOR INVESTORS, INC.
October 26, 1994 - August 30, 1996
MONY SECURITIES CORPORATION
June 2, 1983 - September 12, 1994
PRUCO SECURITIES, LLC.
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
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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