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Bernard Wayne Bunning

CRD# 2291475·Registered 1993 - 2006
Suspended: Bernard Wayne Bunning was suspended by the FINRA; they may not be permitted to conduct business during the suspension.

Professional Summary

Bernard Wayne Bunning was a registered financial advisor. Bernard was a previously registered financial advisor and started their career in finance 1993 - 2006. Bernard had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

QA3 FINANCIAL LLC·CRD# 104957
RIA
Citrus Heights, CA
October 23, 2000 - November 29, 2006
QA3 FINANCIAL CORP.·CRD# 14754
BD
Citrus Heights, CA
October 16, 2000 - November 29, 2006
FIRST ALLIED SECURITIES, INC.·CRD# 32444
BD
San Diego, CA
January 18, 1995 - October 13, 2000
FIRST AFFILIATED SECURITIES·CRD# 23737
BD
La Jolla, CA
November 29, 1993 - August 29, 1995
OSAIC FS, INC.·CRD# 3870
BD
Fort Wayne, IN
January 14, 1993 - December 6, 1993

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1993About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1993About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Jan 1994About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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