Paul M. Bernardi
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.
Paul Michael Bernardi JR, CFP®, CIMA®, who also goes by Paul Michael Bernardi, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 51, Series 4 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
February 11, 2008 - June 5, 2025
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 14, 2007 - June 5, 2025
VOYA INVESTMENT MANAGEMENT CO. LLC
July 24, 2001 - March 3, 2008
ING INVESTMENT MANAGEMENT SERVICES LLC
April 21, 1998 - July 16, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
December 24, 1996 - April 17, 1998
TRANSAMERICA INVESTORS SECURITIES, LLC
April 1, 1996 - May 21, 1996
MONROE PARKER SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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