John A. Bermingham
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.
John Anthony Bermingham was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 5 firms and has passed the Series 63, Series 99TO, Series 16, 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 8, 2017 - September 26, 2025
UNIVEST SECURITIES, LLC
December 15, 2015 - June 1, 2021
BUCKMAN, BUCKMAN & REID, INC.
April 30, 2010 - December 2, 2015
BUCKMAN, BUCKMAN & REID, INC.
January 22, 2008 - April 22, 2009
BGC FINANCIAL, L.P.
May 1, 2003 - January 14, 2008
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 21, 1997 - February 24, 2003
BNP PARIBAS SECURITIES 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
UNIVEST SECURITIES, LLC
CRD#: 36105 / SEC#: , 8-47006
Contact information
FINRA licenses (26 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
