Brian L. Bornstein

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CRD#: 1198045

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.

Brian Lewis Bornstein was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 11 firms and has passed the Series 63, SIE, 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

November 2, 2009 - December 31, 2018

CLARKESON RESEARCH INC.

CRD#: 143868

OYSTER BAY, NY

Past

March 21, 2002 - February 8, 2017

STONEX SECURITIES INC.

CRD#: 18456

OYSTER BAY, NY

Past

June 9, 1998 - April 11, 2002

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

January 28, 1998 - June 3, 1998

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

September 5, 1996 - October 6, 1997

AMERICAN INVESTMENT SERVICES, INC.

CRD#: 21111

OKLAHOMA CITY, OK

Past

September 22, 1995 - September 6, 1996

M. J. WHITMAN, INC.

CRD#: 27870

NEW YORK, NY

Past

March 22, 1993 - September 28, 1995

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

July 6, 1992 - October 26, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 30, 1989 - June 22, 1992

MMAR GROUP, INC.

CRD#: 25329

HOUSTON, TX

Past

October 6, 1987 - December 31, 1989

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

Past

March 5, 1986 - November 16, 1987

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Past

December 28, 1984 - December 31, 1989

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

March 27, 1984 - May 26, 1984

BAP MANAGEMENT CORPORATION

CRD#: 11735

Past

October 20, 1983 - March 7, 1985

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

CRD#: 8297

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: 2/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/1993

General Securities Principal Examination

Current Firm

CLARKESON RESEARCH INC.

BELLATORE SECURITES, INC. | CLARKESON RESEARCH INC. | BELLATORE SECURITIES, INC.

CRD#: 143868 / SEC#: , 8-67612

Terminated by SEC on 01/27/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 01/22/2007

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CLARKESON RESEARCH GROUP, INC.	SOLE SHAREHOLDER
BENDER, STEVEN CHRISTOPHER	FINOP, CFO	2650187
BENDER, STEVEN CHRISTOPHER	PFO, POO	2650187
BORNSTEIN, BRIAN LEWIS	CEO	1198045
MORABITO, CHRISTOPHER J	CCO	5682385

Red Flags

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Advisor Monitoring

Firm Stability Insights

Brian L. Bornstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STONEX SECURITIES INC.

AMERICAN INVESTMENT SERVICES, INC.

NATWEST MARKETS SECURITIES INC.

AMERICAN INVESTMENT SERVICES, INC.

M. J. WHITMAN, INC.

ROBERT THOMAS SECURITIES, INC

LEHMAN BROTHERS INC.

MMAR GROUP, INC.

ROBERT THOMAS SECURITIES, INC

RAYMOND JAMES & ASSOCIATES, INC.

ROBERT THOMAS SECURITIES, INC

BAP MANAGEMENT CORPORATION

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1983

Series 24

Date: 8/25/1993

Current Firm

CLARKESON RESEARCH INC.

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

CLARKESON RESEARCH INC.

TRUST BUT VERIFY

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