Howard A. 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.
Howard Alan Bernstein, who also goes by Howard Bernstein, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 2002. Howard had worked at 3 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2004 - December 3, 2012
FINANCIAL INVESTMENTS, INC.
November 8, 2002 - July 21, 2004
AFC ASSET MANAGEMENT SERVICES, INC.
October 29, 2002 - June 16, 2004
CETERA WEALTH SERVICES, LLC
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
FINANCIAL INVESTMENTS, INC.
CRD#: 119611 / SEC#: 801-61825
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
