Joseph P. Bernsten
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.
Joseph Patrick Bernsten, who also goes by Jospeh Bernsten, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2014 - March 2, 2017
COWEN EXECUTION SERVICES LLC
May 14, 2012 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
May 14, 2012 - November 18, 2014
CANACCORD GENUITY LLC
November 6, 2008 - May 21, 2012
PIPER SANDLER & CO.
March 26, 1999 - May 11, 2006
J.P. MORGAN SECURITIES LLC
February 28, 1997 - March 19, 1999
GUZMAN & COMPANY
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 55
Date: 11/25/2008
Limited Representative-Equity Trader ExamCurrent Firm
COWEN EXECUTION SERVICES LLC
CRD#: 35693 / SEC#: 801-67167, 8-46838
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COWEN EXECUTION HOLDCO | MEMBER | |
| CHARNEY, DANIEL S. | CHIEF EXECUTIVE OFFICER | 2158255 |
| EADS, MARK B | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL - ROSFP | 2942874 |
| HOLMES, JOHN | PRINCIPAL OPERATIONS OFFICER | 1281617 |
| KAPLAN, GARY MITCHELL | MUNICIPAL PRINCIPAL | |
| LUPKIN, IRA ADAM | PRINCIPAL FINANCIAL OFFICER | 4463446 |
| MESSINGER, LINDA LOUISE | CHIEF COMPLIANCE OFFICER | 2561401 |
Disclosures
| Regulatory Event | 29 |
Red Flags
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