Robert L. Berstein

LEONIS SECURITIES

New York, NY 10022

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CRD#: 2912507

Professional summary

Robert Laurance Berstein, who also goes by Bob Berstein, Bobby Berstein, is a registered financial professional currently at LEONIS SECURITIES, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Berstein | Bobby Berstein

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) - BD

Click below to view Robert Laurance Berstein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 2, 2025 - Present

LEONIS SECURITIES, LLC

Office #1: 320 Park Avenue 34th Floor, New York, NY 10022

CRD#: 284307

New York, NY

Past

January 15, 2021 - April 8, 2025

JEGI LLC

CRD#: 134887

Boston, MA

Past

January 14, 2019 - January 4, 2021

PIPER SANDLER & CO.

CRD#: 665

Boston, MA

Past

March 1, 2018 - July 27, 2018

DC ADVISORY

CRD#: 129919

Boston, MA

Past

April 19, 2012 - March 1, 2018

SIGNAL HILL CAPITAL GROUP LLC

CRD#: 122782

Boston, MA

Past

April 27, 2010 - May 1, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

BOSTON, MA

Past

October 4, 2007 - February 18, 2009

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

May 24, 2005 - October 1, 2007

NEEDHAM & COMPANY, LLC

CRD#: 16360

BOSTON, MA

Past

June 9, 2004 - April 22, 2005

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

August 20, 1997 - November 26, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/2/2025)

Exams

State Security Law Exam

Series 63

Date: 6/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 7/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEONIS SECURITIES, LLC

CRD#: 284307 / SEC#: , 8-69797

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

320 Park Avenue 34th Floor, New York, NY 10022

Mailing Address

320 Park Avenue 34th Floor, New York, NY 10022

Phone number

(212) 804-8816

Established

Delaware since 05/25/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LEONIS PRINCIPAL, LLC	OWNER/ MEMBER
ALVAREZ, ENRIQUE	FINOP	4622342
KOVEN, ROBERT JEROLD PAYNE	CEO, CCO, AMLCO, EXEC. REP.	5224097

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.

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Firm Stability Insights

Robert L. Berstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Laurance Berstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEGI LLC

PIPER SANDLER & CO.

DC ADVISORY

SIGNAL HILL CAPITAL GROUP LLC

MORGAN KEEGAN & COMPANY, LLC

BMO CAPITAL MARKETS CORP.

NEEDHAM & COMPANY, LLC

JEFFERIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 7/27/2018

Series 7

Date: 7/30/1997

Series 24

Date: 4/9/2018

FINRA

Current Firm

LEONIS SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LEONIS SECURITIES, LLC

TRUST BUT VERIFY

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