Danilo F. Bernabe
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.
Danilo Frias Bernabe, who also goes by Dan Bernabe, Danilo F Bernabe, was a registered financial professional .
Danilo is a previously registered financial professional and started their career in finance in 1989. Danilo had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2008 - February 9, 2012
SII INVESTMENTS, INC.
March 28, 2003 - March 27, 2012
SCARBOROUGH CAPITAL MANAGEMENT, INC.
March 28, 2003 - December 23, 2008
OSAIC WEALTH, INC.
May 2, 2001 - July 26, 2002
MORGAN STANLEY DW INC.
February 16, 2001 - July 26, 2002
MORGAN STANLEY DW INC.
June 17, 1997 - June 19, 2000
CHARLES SCHWAB & CO., INC.
October 28, 1996 - May 27, 1997
MOORS & CABOT, INC.
February 12, 1996 - November 7, 1996
SECURIAN FINANCIAL SERVICES, INC.
July 20, 1990 - January 24, 1996
IDS LIFE INSURANCE COMPANY
July 20, 1990 - January 24, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
October 3, 1989 - August 1, 1990
OSAIC FS, INC.
July 24, 1989 - October 7, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 24, 1989 - October 7, 1989
SIGNATOR INVESTORS, 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
Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
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.
