Cindy L. Bernstein

BEECH HILL SECURITIES

New York, NY 10022

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CRD#: 1887836

Professional summary

Cindy Lynn Bernstein is a registered financial professional currently at BEECH HILL SECURITIES, INC. located in New York, New York.

Cindy is registered as a RR (Registered Representative) and started their career in finance in 1989. Cindy has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Cindy Lynn Bernstein'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

May 31, 2016 - Present

BEECH HILL SECURITIES, INC.

Office #1: 880 Third Avenue 16th Floor, New York, NY 10022

CRD#: 24771

New York, NY

Past

February 5, 1996 - June 17, 2014

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 1, 1994 - May 10, 1995

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

May 4, 1994 - August 1, 1994

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

February 14, 1989 - January 19, 1993

BROADCORT CAPITAL CORP.

CRD#: 13456

NEW YORK, NY

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

New York
(5/31/2016)

Exams

State Security Law Exam

Series 63

Date: 7/6/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BEECH HILL SECURITIES, INC.

BEECH HILL SECURITIES, INC. | CANTOR, WEISS & FRIEDNER, INC. | CANTOR & WEISS, INC. | BH INDEPENDENT ADVISOR SOLUTIONS

CRD#: 24771 / SEC#: , 8-41389

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

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Contact information

Main Address

880 3rd Avenue 16th Floor, New York, NY 10022-4730

Mailing Address

880 3rd Avenue 16th Floor, New York, NY 10022-4730

Phone number

(212) 350-7200

Established

New York since 05/12/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
IANNUZZI, ADOLFO VINCENT	CFO / CCO- MUTUAL FUNDS	2874669
IANNUZZI, ADOLFO VINCENT	CHIEF EXECUTIVE OFFICER	2874669
IANNUZZI, ADOLFO VINCENT	PRESIDENT	2874669
IANNUZZI, ADOLFO VINCENT	OWNER	2874669
IANNUZZI, ADOLFO VINCENT	CORP SECY	2874669
CANTOR, PAUL SETH	OWNER	39844
CATANIA, FERDINANDO JR	CCO - MUNICIPALS	3263571
FIORINI, DONNA ANNE	EXECUTIVE REPRESENTATIVE	1289258
FIORINI, DONNA ANNE	CCO - GENERAL COMPLIANCE	1289258

Disclosures

Regulatory Event

Red Flags

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Cindy L. Bernstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cindy Lynn Bernstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSHING LLC

CHEMICAL INVESTMENT SERVICES CORP.

IFMG SECURITIES, INC.

BROADCORT CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1989

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/11/1989

FINRA

Current Firm

BEECH HILL SECURITIES, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BEECH HILL SECURITIES, INC.

TRUST BUT VERIFY

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