Howard A. 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.
Howard Alan Bernstein was a registered financial advisor .
Howard is a previously registered financial advisor and started their career in finance in 1997. Howard had worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 55, 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 26, 2011 - March 20, 2015
MERRIMAN WEALTH ADVISORS
October 13, 2009 - March 20, 2015
MERRIMAN CAPITAL, INC.
March 2, 2009 - October 9, 2009
WEDBUSH SECURITIES INC.
August 20, 2002 - July 8, 2009
PACIFIC GROWTH EQUITIES, LLC
July 31, 2000 - August 19, 2002
ROBERTSON STEPHENS, INC.
December 15, 1997 - July 26, 2000
KNIGHT CAPITAL AMERICAS, L.P.
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
Series 55
Date: 7/17/1998
Limited Representative-Equity Trader ExamCurrent Firm
MERRIMAN WEALTH ADVISORS
CRD#: 158605 / SEC#: 801-79639
Contact information
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.
