Stephen F. Bernard
Professional summary
Stephen Fletcher Bernard, who also goes by Stephen F Bernard, Steven Fletcher Bernard, is a registered financial professional currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1973. Stephen has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Fletcher Bernard's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2023 - Present
CAPITOL SECURITIES MANAGEMENT, INC.
Office #1: 50 Congress Street Suite 700, Boston, MA 02109April 11, 2018 - October 31, 2023
WOOD (ARTHUR W.) COMPANY, INC.
February 13, 2003 - March 23, 2018
OPPENHEIMER & CO. INC.
February 21, 1991 - February 21, 2003
CITIGROUP GLOBAL MARKETS INC.
July 29, 1986 - January 22, 1991
MORGAN STANLEY DW INC.
September 26, 1978 - July 22, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2023)
(10/30/2023)
(10/30/2023)
(10/31/2023)
(10/17/2024)
(10/30/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 1/14/1995
AMEX Put and Call ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 10/24/1973
Registered Representative ExaminationFINRA
Current Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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Company Information
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169Boston, MA 02109TRUST BUT VERIFY
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