Richard A. Bernardy
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.
Richard Alan Bernardy was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2001. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 79 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
December 20, 2019 - August 6, 2020
ENTORO SECURITIES, LLC
August 1, 2017 - December 31, 2017
ENTORO SECURITIES, LLC
August 10, 2012 - March 13, 2017
CHIRON SECURITIES LLC
June 26, 2006 - November 5, 2007
NGP INVESTMENT ADVISOR, LP
September 16, 2003 - May 25, 2005
M1 ENERGY CAPITAL SECURITIES, LLC
June 27, 2001 - December 19, 2002
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 6/26/2001
Corporate Securities Limited Representative ExaminationCurrent Firm
ENTORO SECURITIES, LLC
CRD#: 35192 / SEC#: , 8-46630
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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