Bernard J. Lunny
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.
Bernard Joseph Lunny was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1968. Bernard had worked at 17 firms and has passed the Series 55, Series 7 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
February 7, 2002 - May 2, 2003
LABRANCHE FINANCIAL SERVICES, LLC
July 24, 1995 - January 8, 2002
LABRANCHE & CO. LLC
November 29, 1994 - March 31, 1995
A. T. BROD & CO. INC.
May 14, 1993 - December 2, 1994
CREDIT AGRICOLE SECURITIES (USA) INC.
May 3, 1985 - July 2, 1990
CITIGROUP GLOBAL MARKETS INC.
December 27, 1983 - March 26, 1985
SBC WARBURG DILLON READ INC.
June 24, 1980 - December 14, 1983
UBS ASSET MANAGEMENT (US) INC.
August 16, 1979 - January 1, 1984
WOOLCOTT & CO., INC.
June 12, 1979 - June 15, 1980
ARONSON, WOOLCOTT & CO. INC.
May 12, 1978 - June 25, 1979
PRUDENTIAL EQUITY GROUP, LLC
January 11, 1977 - May 8, 1978
NORMANDY SECURITIES INCORPORATED
June 1, 1976 - July 1, 1977
H.C.WAINWRIGHT & CO., LLC
May 12, 1975 - July 4, 1976
SALOMON BROTHERS INC.
April 18, 1975 - June 8, 1975
SCHRODER & CO. INC.
February 15, 1972 - June 8, 1975
WERTHEIM & CO.
April 1, 1971 - March 18, 1972
FAULKNER, DAWKINS & SULLIVAN INC.
April 11, 1968 - June 1, 1977
NEW YORK SECURITIES CO INC
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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 4/8/1968
Registered Representative ExaminationCurrent Firm
LABRANCHE FINANCIAL SERVICES, LLC
CRD#: 7432 / SEC#: , 8-19060
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LABRANCHE & CO. INC | OWNER | |
| BURKE, WILLIAM JOSEPH III | CEO | 848502 |
| HAYWARD, ALFRED OWEN JR | DIRECTOR | 2355580 |
| LABRANCHE, GEORGE MICHAEL IV | CHAIRMAN | 2355575 |
| MCCUTCHEON, JEFFREY ALLEN | DIRECTOR | 4586231 |
| OHARE, MICHAEL | MANAGING DIRECTOR | 2120129 |
| TONER, KATHLEEN M | ACTING CHIEF COMPLIANCE OFFICER | 1254334 |
| VESPOLI, ALBERT BENJAMIN | CHIEF FINANCIAL OFFICER | 2447839 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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