Brian D. Bernard
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.
Brian Daniel Bernard, who also goes by Brian D Bernard, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1990. Brian had worked at 6 firms and has passed the Series 63, SIE, Series 79, 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
April 26, 2017 - December 14, 2018
HUNT FINANCIAL SECURITIES
February 2, 2010 - December 31, 2013
J.P. MORGAN SECURITIES LLC
August 3, 2005 - March 12, 2008
J.P. MORGAN SECURITIES INC.
August 28, 1995 - July 22, 2005
NATWEST MARKETS SECURITIES INC.
September 22, 1994 - August 22, 1995
CITIGROUP GLOBAL MARKETS INC.
May 23, 1990 - March 24, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
HUNT FINANCIAL SECURITIES
CRD#: 169919 / SEC#: , 8-69397
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNT CAPITAL HOLDINGS INVESTMENTS, LLC | 100% MEMBER | |
| GUZMAN, JEFFREY M | CCO | 3095123 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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