Joel A. 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.
Joel Arthur Bernstein was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1992. Joel had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2003 - December 31, 2018
BERNSTEIN AND KELLY, LLC
January 1, 2001 - December 31, 2003
COMPASS CAPITAL CORPORATION
March 15, 1999 - December 31, 2003
COMPASS SECURITIES CORPORATION
December 23, 1996 - March 13, 1998
THE ADVISORS GROUP, INC.
March 9, 1992 - December 15, 1994
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BERNSTEIN AND KELLY, LLC
CRD#: 128295 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
