Marc 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.
Marc Bernstein was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1995. Marc had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2004 - November 6, 2017
LADENBURG THALMANN ASSET MANAGEMENT INC
November 20, 2002 - November 6, 2017
LADENBURG THALMANN & CO. INC.
February 22, 1995 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
Primary Firm SEC Registration
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
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
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
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.
