William 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.
William James Bernstein, who also goes by William J. Bernstein, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1998. William had worked at 1 firm and has passed the Series 65 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
August 17, 1998 - July 15, 2025
EFFICIENT FRONTIER ADVISORS LLC
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: 9/15/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
EFFICIENT FRONTIER ADVISORS LLC
CRD#: 111895 / SEC#: 801-60450
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 199 |
| AUM (Assets Under Management) | $ 419,344,585 |
Red Flags
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