Marshall A. Bernstein
Professional summary
Marshall Alan Bernstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marshall is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Marshall had worked at 2 firms, which includes MAIDSTONE FINANCIAL INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 1994 - February 17, 1998
MAIDSTONE FINANCIAL, INC.
November 9, 1983 - December 31, 1991
CONTINENTAL BROKER-DEALER CORP.
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
Series 62
Date: 6/24/1994
Corporate Securities Limited Representative ExaminationSeries 2
Date: 12/9/1982
Non-Member General Securities ExaminationCurrent Firm
MAIDSTONE FINANCIAL, INC.
CRD#: 31804 / SEC#: , 8-45556
Contact information
Documents
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