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BB

Barbaraann Bernatzky

Some features on this profile are disabled
CRD#: 2535421
BB

Professional summary

Barbaraann Bernatzky was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Barbaraann is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Barbaraann had worked at 4 firms, which includes HENLEY & COMPANY LLC, PRIME CAPITAL SERVICES INC., RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

B A Bernatzky | Barbara Ann Bernatzky | Barbara Ann Washeim

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 5, 2006 - August 18, 2021

HENLEY & COMPANY LLC

BD
CRD#: 131453
SHOREHAM, NY
Past

July 27, 1999 - April 19, 2006

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
SHOREHAM, NY
Past

January 4, 1999 - July 29, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

December 16, 1994 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/25/1994
General Securities Representative Examination

Current Firm

H&
HENLEY & COMPANY LLC
HENLEY & COMPANY LLC

CRD#: 131453 / SEC#: , 8-66463

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
506 Rxr Plaza, Uniondale, NY 11556
Mailing Address
506 Rxr Plaza, Uniondale, NY 11556
Phone number
(516) 794-5520
Established
New York since 03/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GEMINO, FRANCIS PATRICKPRESIDENT; CEO; MANAGING MEMBER219616
ALBANESE, JAMES JOSEPHSENIOR VICE PRESIDENT, ROSFP1699997
FORTINO, ROBERT ANTHONYFINOP1905741
GERMANO-ALESSI, MARIA TERESACHIEF COMPLIANCE OFFICER4404986
LADERER, MICHAEL JOHNMANAGING DIRECTOR1436877

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.

Company Information

HENLEY & COMPANY LLC

CRD#: 131453

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