Bernard M. Lherisson
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 Michael Lherisson was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1988. Bernard had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2020 - July 10, 2023
A.G.P. / ALLIANCE GLOBAL PARTNERS
December 23, 2019 - July 10, 2023
A.G.P. / ALLIANCE GLOBAL PARTNERS
February 29, 2012 - January 15, 2020
AEGIS CAPITAL CORP.
September 25, 2009 - March 16, 2012
OPPENHEIMER & CO. INC.
September 25, 2009 - March 16, 2012
OPPENHEIMER & CO. INC.
July 20, 2005 - June 16, 2009
CHASE INVESTMENT SERVICES CORP.
July 19, 2005 - June 16, 2009
CHASE INVESTMENT SERVICES CORP.
August 23, 2002 - July 25, 2005
ALLSTATE FINANCIAL SERVICES, LLC
January 20, 2000 - July 9, 2002
EQUITABLE ADVISORS, LLC
September 14, 1990 - November 30, 1990
GUARDIAN INVESTOR SERVICES LLC
January 11, 1990 - August 30, 1990
JOSEPHTHAL & CO., INC.
October 30, 1989 - January 13, 1990
J. T. MORAN & CO., INC.
March 3, 1989 - November 4, 1989
J F LOWE & COMPANY INCORPORATED
February 24, 1989 - March 23, 1989
SOUTH RICHMOND SECURITIES, INC.
July 21, 1988 - October 2, 1989
F.D. ROBERTS SECURITIES, INC.
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
