Ira 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.
Ira Lewis Bernstein was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1988. Ira had worked at 8 firms and has passed the Series 63 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
March 26, 2001 - July 14, 2014
FEDERATED SECURITIES, INC.
October 1, 1998 - May 24, 1999
NEW TIMES SECURITIES SERVICES, INC.
September 11, 1996 - November 13, 1996
SEABOARD SECURITIES, INC.
March 8, 1995 - June 22, 1995
GKN SECURITIES CORP.
November 30, 1992 - March 8, 1993
IDS LIFE INSURANCE COMPANY
November 30, 1992 - March 8, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
August 18, 1989 - December 31, 1990
INVESTACORP, INC.
October 19, 1988 - September 1, 1989
STERLING SECURITIES, 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
FEDERATED SECURITIES, INC.
CRD#: 5050 / SEC#: , 8-15644
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
