Lawrence J. 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.
Lawrence Jay Bernstein, who also goes by Larry Bernstein, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1989. Lawrence had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2010 - December 18, 2015
ESSEX RADEZ LLC
August 7, 2009 - December 20, 2010
ADVANTAGE SECURITIES LLC
January 16, 2004 - November 18, 2008
AMBER MOUNTAIN INVESTMENTS, LLC
April 24, 2000 - August 31, 2001
CITADEL TRADING GROUP L.L.C.
April 24, 2000 - August 31, 2001
ARAGON INVESTMENTS, LTD.
September 1, 1998 - September 24, 1999
CITIGROUP GLOBAL MARKETS INC.
September 19, 1989 - September 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
ESSEX RADEZ LLC
CRD#: 34649 / SEC#: , 8-45175
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
Red Flags
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