Marie C. 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.
Marie Carline Bernard, who also goes by Cathy Bernard, Marie Carline Bernardhilaire, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1994. Marie had worked at 13 firms and has passed the Series 63, SIE 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
January 2, 2015 - October 19, 2016
CAPITAL ONE INVESTING, LLC
September 19, 2012 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
April 26, 2006 - March 21, 2012
SANFORD C. BERNSTEIN & CO., LLC
March 9, 2006 - April 11, 2006
MAXIM GROUP LLC
October 20, 2004 - January 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2003 - October 20, 2004
QUICK & REILLY, INC.
March 28, 2001 - October 14, 2003
J.P. TURNER & COMPANY, L.L.C.
February 25, 1998 - March 27, 2001
MARION BASS SECURITIES CORPORATION
November 23, 1997 - February 23, 1998
ARGENT SECURITIES, INC.
July 17, 1997 - September 3, 1997
THE MALACHI GROUP, INC.
November 16, 1994 - August 15, 1995
PRUDENTIAL EQUITY GROUP, LLC
July 19, 1994 - August 26, 1994
PRUDENTIAL EQUITY GROUP, LLC
May 6, 1994 - May 12, 1994
CHATFIELD DEAN & CO., INC.
May 6, 1994 - May 26, 1994
SOUTH RICHMOND SECURITIES, 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
Current Firm
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
