Madeleine K. Bernard
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.
Madeleine Kay Bernard, who also goes by Madeleine K Bernard, was a registered financial professional .
Madeleine is a previously registered financial professional and started their career in finance in 1986. Madeleine had worked at 9 firms and has passed the Series 65, Series 63, 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
December 19, 2001 - July 8, 2003
SII INVESTMENTS, INC.
February 25, 1998 - December 20, 2001
FSC SECURITIES CORPORATION
February 20, 1996 - March 3, 1998
FFP SECURITIES, INC.
December 20, 1994 - February 20, 1996
PIM FINANCIAL SERVICES, INC.
June 17, 1994 - November 30, 1994
WFG SECURITIES CORPORATION
April 24, 1989 - February 15, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
May 24, 1988 - December 1, 1988
PRIMUS FINANCIAL SERVICES, INC.
April 8, 1987 - October 14, 1987
MERIT CAPITAL CORPORATION
April 25, 1986 - October 22, 1986
PROMETHEUS CAPITAL, 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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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