Michael J. 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.
Michael Jon Bernstein was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2002 - December 11, 2002
NATIONAL SECURITIES CORPORATION
May 10, 2001 - May 3, 2002
FIRST MONTAUK SECURITIES CORP.
November 7, 2000 - April 17, 2001
CANTONE RESEARCH INC.
November 6, 2000 - November 7, 2000
FINANCIAL CONSULTANT GROUP, LLC
November 17, 1998 - November 7, 2000
COLEMAN & COMPANY SECURITIES, INC.
April 22, 1998 - September 29, 1998
WILLIAM SCOTT & CO. L.L.C.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
