Leonard Bernstein
Professional Summary
Leonard Bernstein is a registered financial advisor currently at CLEARPOOL EXECUTION SERVICES, LLC located in Milford, Pennsylvania. Leonard is registered as a RR (Registered Representative) and started their career in finance in 2000. Leonard has worked at 10 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CLEARPOOL EXECUTION SERVICES, LLC
Contact Information
Main Address
151 West 42nd Street, New York, NY 10036Mailing Address
151 West 42nd Street, New York, NY 10036Phone Number
(212) 702-1101Established
New York since 05/07/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/15/2019)
(7/10/2014)
(7/10/2014)
(3/20/2019)
(3/19/2019)
(3/15/2019)
(1/12/2026)
(7/10/2014)
(3/14/2019)
(3/14/2019)
(9/8/2014)
(3/18/2019)
(3/15/2019)
(1/12/2026)
(1/12/2026)
(7/10/2014)
(7/10/2014)
(3/15/2019)
(7/10/2014)
(1/12/2026)
(9/8/2014)
(3/14/2019)
(3/15/2019)
(7/10/2014)
(1/12/2026)
(3/14/2019)
(3/15/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2000SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Leonard Bernstein's CRS (Customer Relationship Summary).
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