Anne L. 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.
Anne Louise Bernstein, who also goes by Anne Louise Birnbaum, Anne Louise Messer, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1988. Anne had worked at 4 firms and has passed the Series 63, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2005 - April 30, 2014
DEVELOPMENT CORPORATION FOR ISRAEL
May 18, 1994 - November 5, 1999
MONY SECURITIES CORPORATION
September 27, 1988 - April 18, 1994
METROPOLITAN LIFE INSURANCE COMPANY
September 27, 1988 - April 18, 1994
MSI FINANCIAL 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 62
Date: 5/12/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
DEVELOPMENT CORPORATION FOR ISRAEL
CRD#: 11148 / SEC#: , 8-4218
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATION FOR DEVELOPMENT OF ISRAEL, INC. F/K/A AMERICAN SOCIETY OF RESETTLEMENT & REHABILITON IN ISRAEL, INC. | SOLE SHAREHOLDER - ASSOCIATION FOR DEVELOPMENT OF ISRAEL, INC., IS A NOT-FOR PROFIT MEMBERSHIP CORP. (NEW ENTITY NAME 3/2014) | |
| BOIANGIU ABADI, MICHAL ESTER | DIRECTOR | 7921606 |
| CORNICK, KENNETH LAWRENCE | DIRECTOR | 2528105 |
| DIENER, ROBERT BENJAMIN | DIRECTOR | 3043768 |
| FOX, WILLIAM ZEV | DIRECTOR | 212366 |
| GARAWITZ, STUART NEAL | VICE PRESIDENT - SALES | 861993 |
| GOLDBERG, KENNETH EDWARD | DIRECTOR | 6763272 |
| GOLDSTEIN, HOWARD LEWIS | DIRECTOR/CHAIRMAN EMERITUS | 2235827 |
| GRANT, ADRIAN MERVYN | DIRECTOR | 6364527 |
| HERBSTMAN, BURTON LEE | DIRECTOR | 6364536 |
| HERBSTMAN, HELENE ELLEN | DIRECTOR | 6364551 |
| HORVATH, JORDAN A | CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER/FINRA EXECUTIVE REP./ASSISTANT SECRETARY/VICE PRESIDENT - LEGAL | 4928984 |
| HUTTER, ANDREW MARK | DIRECTOR/CHAIRMAN OF THE BOARD | 6364574 |
| KRUGER, ERIK S | FINANCIAL OPERATIONS PRINCIPAL/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 5739446 |
| LEWIS, SHIRA JOY | DIRECTOR/TREASURER | 2672845 |
| MULVEY, WILLIAM JAMES JR | PRINCIPAL OPERATIONS OFFICER | 2760487 |
| NAVEH, DANI | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 7413657 |
| PINES, ALAN JAY | DIRECTOR | 6417612 |
| ROTHENBERG, LARRY LEE | DIRECTOR | 1079161 |
| RUBENS, JOSH M | DIRECTOR | 7681292 |
| RUBIN, ANDREW DAVID | DIRECTOR | 2876452 |
| SEGAL, GLENN | DIRECTOR/SECRETARY | 6364874 |
| STEIN, LAURA | DIRECTOR | 7681994 |
| SWIG, KENT MASON | DIRECTOR | 4768476 |
| ZEIDMAN, FRED SCHWARTZ | DIRECTOR | 4774789 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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