Edward A. Bernabeo
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.
Edward Anthony Bernabeo JR, who also goes by Eddie Bernabeo, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1992. Edward had worked at 14 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2014 - September 14, 2015
SPENCER EDWARDS, INC.
February 1, 2012 - November 6, 2012
BCC ADVISORY SERVICES, LLC
February 23, 2009 - July 11, 2011
WORLD EQUITY GROUP, INC.
August 13, 2007 - February 1, 2008
BROKERSXPRESS LLC
September 27, 2004 - September 7, 2005
TRANSCEND CAPITAL
March 3, 2003 - October 2, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
October 7, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
August 9, 2000 - September 27, 2001
PROTRADER SECURITIES L.P.
July 13, 2000 - May 30, 2002
KERSHNER TRADING GROUP, LLC
May 9, 2000 - August 11, 2000
NATALLIANCE SECURITIES, LLC
August 10, 1998 - May 25, 2000
PROTRADER SECURITIES L.P.
May 29, 1996 - August 15, 1996
BLOCK TRADING INC.
January 15, 1994 - November 7, 1995
AMERIPRISE ADVISOR SERVICES, INC.
January 13, 1993 - December 22, 1993
UBS FINANCIAL SERVICES INC.
January 30, 1992 - January 7, 1993
LEHMAN BROTHERS 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 55
Date: 8/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
