Bernard E. Vernice

HARGER AND COMPANY

Baton Rouge, LA 70809

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CRD#: 1868589

Professional summary

Bernard Edward Vernice JR, who also goes by Bennie Vernice Jr, Bennie Vernice, is a registered financial professional currently at HARGER AND COMPANY, INC. located in Baton Rouge, Louisiana.

Bernard is registered as a RR (Registered Representative) and started their career in finance in 1988. Bernard has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bennie Vernice Jr | Bennie Vernice

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernard Edward Vernice JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 23, 2005 - Present

HARGER AND COMPANY, INC.

Office #1: 8048 One Calais Avenue Suite D, Baton Rouge, LA 70809

RIA

CRD#: 10385

Baton Rouge, LA

Past

January 1, 2004 - June 1, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 9, 2000 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 31, 1995 - May 3, 2000

UNITED SECURITIES ALLIANCE, INC.

CRD#: 36487

GREENWOOD VILLAGE, CO

Past

January 13, 1993 - March 31, 1995

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

April 16, 1992 - December 31, 1992

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

January 20, 1992 - April 1, 1992

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 14, 1991 - December 31, 1991

SISUNG SECURITIES CORPORATION

CRD#: 25752

METAIRIE, LA

Past

September 23, 1988 - March 5, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARGER AND COMPANY, INC.

HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.

CRD#: 10385 / SEC#: 801-129739, 8-27287

RIA

Registered Investment Advisory firm - SEC (3/22/2024 Approved)

Louisiana

Registered Investment Advisory firm - SEC (4/1/1996 Approved)

Texas

Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/28/2016)

Louisiana
(6/24/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/21/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/21/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/18/1990

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

HARGER AND COMPANY, INC.

HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.

CRD#: 10385 / SEC#: 801-129739, 8-27287

RIA

Registered Investment Advisory firm - SEC (3/22/2024 Approved)

Louisiana

Registered Investment Advisory firm - SEC (4/1/1996 Approved)

Texas

Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

8048 One Calais Ave Suite D Suite D, Baton Rouge, LA 70809

Mailing Address

8048 One Calais Ave Suite D, Baton Rouge, LA 70809

Phone number

(225) 767-7228

Established

Louisiana since 01/01/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HARGER - FORM ADV PART 2A BROCHURE - FEB 2025 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
R. L. HARGER & ASSOCIATES, INC.	HOLDING COMPANY
DOWDEN, CHRISTOPHER MICHAEL	VP OPERATIONS/CCO/FINOP	4089978
HARGER, MATTHEW BENNETT	PRESIDENT	3021341

Regulatory assets under management

Total Number of Accounts	427
AUM (Assets Under Management)	$ 123,253,006

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Bernard E. Vernice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bernard Edward Vernice JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

UNITED SECURITIES ALLIANCE, INC.

SENTRA SECURITIES CORPORATION

PLANNED INVESTMENTS INC.

SUNAMERICA SECURITIES, INC.

SISUNG SECURITIES CORPORATION

PFS INVESTMENTS INC.

Primary Firm SEC Registration

HARGER AND COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/1988

SIE

Date: 10/1/2018

Series 6

Date: 9/21/1988

Series 26

Date: 4/18/1990

FINRA

Current Firm

HARGER AND COMPANY, INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (20 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARGER AND COMPANY, INC.

TRUST BUT VERIFY

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