Robert J. Bernstone
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.
Robert Joseph Bernstone, who also goes by Robert J Bernstone, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 4 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
August 8, 2005 - May 3, 2021
CREDIT SUISSE SECURITIES (USA) LLC
March 2, 1998 - August 15, 2005
DEUTSCHE BANK SECURITIES INC.
March 20, 1997 - March 2, 1998
NATWEST SECURITIES CORPORATION
July 7, 1995 - March 12, 1997
DEUTSCHE BANK SECURITIES INC.
June 29, 1993 - May 19, 1995
ING BARING (U.S.) SECURITIES, INC.
April 24, 1992 - June 23, 1993
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/8/2005
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
