Clifford W. 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.
Clifford Wayne Bernstein, who also goes by Cliff Bernstein, Clifford Bernstein, Wayne Bernstein, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1988. Clifford had worked at 7 firms and has passed the Series 63, Series 55 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 20, 2001 - January 3, 2002
RUMSON CAPITAL, LLC
April 19, 1999 - May 6, 1999
RUMSON CAPITAL, LLC
February 9, 1996 - December 2, 1996
FIRST UNITED EQUITIES CORPORATION
June 17, 1994 - October 9, 1995
A. R. BARON & CO., INC.
June 24, 1992 - June 17, 1994
D. H. BLAIR & CO., INC.
August 22, 1989 - June 10, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1989 - August 1, 1989
J. T. MORAN & CO., INC.
August 23, 1988 - March 10, 1989
INVESTORS CENTER, 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 55
Date: 5/25/2001
Limited Representative-Equity Trader ExamCurrent Firm
RUMSON CAPITAL, LLC
CRD#: 33848 / SEC#: , 8-46133
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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