John J. Bringman
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.
John Joseph Bringman was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 9 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 1995 - July 10, 2008
BERNARD HEROLD & CO., INC.
August 8, 1994 - December 21, 1994
OPPENHEIMER & CO. INC.
October 8, 1990 - August 8, 1994
REICH & CO., INC.
March 14, 1988 - September 28, 1990
JANNEY MONTGOMERY SCOTT LLC
February 3, 1984 - March 8, 1988
PHILIPS, APPEL & WALDEN, INC.
February 24, 1978 - February 3, 1984
MORGAN STANLEY DW INC.
May 20, 1975 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 19, 1973 - July 2, 1975
E. F. HUTTON & COMPANY INC
October 16, 1970 - October 14, 1973
LOEB RHOADES & CO
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
PC
Date: 9/1/1977
AMEX Put and Call ExamSeries 1
Date: 5/1/1956
Registered Representative ExaminationCurrent Firm
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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