Kenneth H. 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.
Kenneth Henry Bernstein, who also goes by Ken Bernstein, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1986. Kenneth had worked at 11 firms and has passed the Series 63, Series 6TO, SIE, Series 6 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
December 14, 2017 - May 12, 2020
NEWBRIDGE SECURITIES CORPORATION
November 24, 2015 - September 29, 2017
OSAIC FS, INC.
May 31, 2012 - December 10, 2015
NEWBRIDGE SECURITIES CORPORATION
February 19, 2008 - June 7, 2012
EQUITABLE ADVISORS, LLC
March 27, 2006 - February 22, 2008
OSAIC FS, INC.
November 9, 2004 - February 22, 2008
OSAIC FS, INC.
December 1, 2003 - November 29, 2004
OSAIC WEALTH, INC.
December 6, 1999 - November 29, 2004
OSAIC WEALTH, INC.
February 14, 1997 - December 3, 1999
MUTUAL SERVICE CORPORATION
June 20, 1996 - February 14, 1997
LPL FINANCIAL LLC
February 20, 1996 - June 24, 1996
NATHAN & LEWIS SECURITIES, INC.
August 24, 1992 - April 4, 1996
BNY MELLON SECURITIES CORPORATION
December 5, 1991 - April 14, 1992
FIDELITY DISTRIBUTORS COMPANY LLC
March 14, 1991 - November 29, 1991
FIDELITY DISTRIBUTORS CORPORATION
May 1, 1986 - November 16, 1989
COREBRIDGE CAPITAL SERVICES, 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
Series 6TO
Date: 3/6/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NEWBRIDGE SECURITIES CORPORATION
CRD#: 104065 / SEC#: , 8-52538
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWBRIDGE FINANCIAL INC. | OWNER | |
| BUDDIE, GIOVINA ANN | FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER | 1997691 |
| CASOLARO, THOMAS JOSEPH | CO-CEO & CHAIRMAN | 1812805 |
| CHAMPION, CHAD DANA | SENIOR MANAGING DIRECTOR, HEAD OF INVESTMENT BANKING AND EQUITY CAPITAL MARKETS | 3038162 |
| ROBLES, VICTOR MANUEL | FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4490918 |
| SLAVIK, RICHARD WAYNE | CHIEF COMPLIANCE OFFICER | 2122910 |
| SPITLER, ROBERT PENDELTON | CO-CEO/FINOP/CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4050312 |
Disclosures
| Regulatory Event | 33 |
| Arbitration | 4 |
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.
