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DB

David A. Bernat

Some features on this profile are disabled
CRD#: 1875770
DB

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.

David Alan Bernat was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1988. David had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 23, 2013 - April 8, 2015

BENDIGO SECURITIES, LLC

BD
CRD#: 152529
NEW YORK, NY
Past

October 25, 2012 - July 24, 2013

MISSION CAPITAL LLC

BD
CRD#: 148006
NEW YORK, NY
Past

March 8, 2010 - August 21, 2012

JACKSON SECURITIES LLC

BD
CRD#: 19897
STAMFORD, CT
Past

March 16, 2009 - April 15, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 10, 2004 - July 8, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 26, 2002 - May 11, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

May 11, 1999 - November 17, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 20, 1988 - January 29, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/22/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/8/1994
Municipal Securities Principal Examination

Current Firm

BS
BENDIGO SECURITIES, LLC
BENDIGO SECURITIES, LLC | CROWDCLEAR

CRD#: 152529 / SEC#: , 8-68462

BD
Terminated by SEC on 11/28/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CROWD CLEAR INC.SOLE OWNER
KATZ, MICHAEL RONALDCHIEF COMPLIANCE OFFICER & AML873982
KATZ, MICHAEL RONALDCOO873982
REYES, CHRISTOPHER VALENTINFINOP2105804
TAYLOR, RICHARD DAVIDCEO4944380

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.

Company Information

BENDIGO SECURITIES, LLC

CRD#: 152529

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