Lee 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.
Lee Bernstein, who also goes by Arthur Lee Bernstein, was a registered financial professional .
Lee is a previously registered financial professional and started their career in finance in 1966. Lee had worked at 9 firms and has passed the Series 63, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 1989 - October 4, 1989
HERITAGE FINANCIAL INVESTMENTS CORPORATION
January 5, 1987 - January 29, 1987
THE RIDERWOOD GROUP INCORPORATED
April 10, 1986 - December 8, 1986
MOORS & CABOT, INC.
April 16, 1985 - December 6, 1985
GENERAL AMERICAN SECURITIES, INC.
February 7, 1985 - December 26, 1985
MILLBROOK INVESTOR SECURITIES, INC.
January 17, 1984 - November 8, 1984
STATE CAPITAL FINANCIAL SERVICES CORPORATION
December 28, 1976 - October 20, 1983
LEGG MASON WOOD WALKER, INCORPORATED
October 29, 1971 - August 15, 1975
JANUS SECURITIES INC
April 5, 1966 - October 29, 1971
REYNOLDS SECURITIES, 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
Series 1
Date: 12/17/1959
Registered Representative ExaminationCurrent Firm
HERITAGE FINANCIAL INVESTMENTS CORPORATION
CRD#: 15767 / SEC#: , 8-32707
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
