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Brandon L. Bernhard

Some features on this profile are disabled
CRD#: 4428501
BB

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.

Brandon Lee Bernhard was a registered financial advisor .

Brandon is a previously registered financial advisor and started their career in finance in 2002. Brandon had worked at 8 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 28, 2012 - June 8, 2012

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past

March 26, 2012 - June 8, 2012

LEGEND ADVISORY, LLC

RIA
CRD#: 104761
COLUMBUS, OH
Past

July 8, 2010 - November 29, 2010

BROKERSXPRESS LLC

BD
CRD#: 127081
CLARKSON, KY
Past

May 4, 2010 - June 10, 2010

PRIVATE CLIENT SERVICES, LLC

BD
CRD#: 120222
LOUISVILLE, KY
Past

October 12, 2004 - May 6, 2010

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
CLARKSON, KY
Past

January 5, 2004 - October 14, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LOUISVILLE, KY
Past

December 19, 2002 - October 14, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 5, 2002 - October 31, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 5, 2002 - October 31, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2002
General Securities Representative Examination

Current Firm

LE
LEGEND EQUITIES CORPORATION
LEGEND EQUITIES CORPORATION | THE LEGEND GROUP'S PROFESSIONAL ATHLETES RETIREMENT SERVICES | THE LEGEND GROUP'S PROFESSIONAL ATHLETES FINANCIAL SERVICES | THE LEGEND GROUP

CRD#: 30999 / SEC#: , 8-45286

BD
Terminated by SEC on 03/14/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/04/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEGEND GROUP HOLDINGS, LLCDIRECT OWNER
ANTONIADES, ADAM NICHOLASDIRECTOR2261744
BONNEAU, CATHERINE MCCORMACKDIRECTOR2899706
GINGRICH, MIRALDAVICE PRESIDENT1985431
GRIFFEY, ENA MARIAFINOP4460199
HALEY, BRIAN JOSEPHCHIEF COMPLIANCE OFFICER4361815
MEHROTRA, SHASHIDIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT2640875
RUDNICK, REGINA MARYVICE PRESIDENT2373530
SHELSON, MARK PAULTREASURER1819252

Disclosures

Regulatory Event6
Arbitration1

Red Flags

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.

Company Information

LEGEND EQUITIES CORPORATION

CRD#: 30999

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