Alan S. 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.
Alan Stuart Bernstein was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1999. Alan had worked at 3 firms and has passed the Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2004 - July 26, 2006
PTI SECURITIES & FUTURES L. P.
April 25, 2002 - May 11, 2004
INDEPENDENT FINANCIAL GROUP, LLC
September 14, 1999 - April 25, 2002
GRANITE CAPITAL MANAGEMENT
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 62
Date: 6/1/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
PTI SECURITIES & FUTURES L. P.
CRD#: 29275 / SEC#: , 8-44412
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAUGH INC,. | GENERAL PARTNER | |
| NKH CORPORATION | LIMITED PARTNER | |
| DYER, JOHN ROBERT | LIMITED PARTNER | |
| SHAPIRO, MELVIN | LIMITED PARTNER | |
| SPITALNY, ROBIN | LIMITED PARTNER | 1267339 |
| HAUGH, DANIEL JOHN | CHIEF COMPLIANCE OFFICER, FINOP, EXECUTIVE REPRESENTATIVE, AMLCO, ROSFP | 2162854 |
| HAUGH, THOMAS PATRICK | CEO - EXECUTIVE OFFICER | |
| NAJARIAN, JON ARTHUR | LIMITED PARTNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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