Bernard C. Javelly
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 Christian Javelly, who also goes by Bernard C Javelly, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1986. Bernard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2014 - August 28, 2015
EFG CAPITAL ADVISORS INC.
November 10, 2009 - October 29, 2014
EFG CAPITAL ADVISORS LLC
December 11, 2008 - August 28, 2015
EFG CAPITAL INTERNATIONAL
August 18, 2008 - November 17, 2008
VECTORGLOBAL WMG
August 2, 2001 - August 15, 2008
INSIGNEO WEALTH ADVISORS, LLC
January 7, 2000 - August 15, 2008
INSIGNEO SECURITIES, LLC
February 19, 1986 - January 7, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 7/8/1988
Interest Rate Options ExaminationSeries 15
Date: 7/7/1988
Foreign Currency Options ExaminationSeries 8
Date: 8/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EFG CAPITAL ADVISORS INC.
CRD#: 112224 / SEC#: 801-32497
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
