Brian W. Bernier
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 Westbrook Bernier was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
September 5, 2017 - October 25, 2019
NOBLE CAPITAL MARKETS, INC.
January 19, 2017 - September 5, 2017
THIRD SEVEN CAPITAL LLC
June 10, 2013 - December 31, 2016
EDI FINANCIAL, INC.
February 22, 2011 - May 29, 2013
ALLIED BEACON PARTNERS, INC.
February 11, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
December 24, 2008 - December 15, 2009
DETWILER FENTON & CO.
June 2, 1997 - November 17, 2008
STONEGATE PARTNERS, LLC
February 24, 1994 - August 22, 1997
SATURN CAPITAL, INC.
February 21, 1985 - February 9, 1994
WINTHROP SECURITIES CO., 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
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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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