Seth A. Bernstein
Professional summary
Seth A Bernstein is a registered financial professional currently at BTIG, LLC located in New York, New York.
Seth is registered as a RR (Registered Representative) and started their career in finance in 2005. Seth has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Seth A Bernstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2020 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022October 24, 2014 - June 2, 2020
HSBC SECURITIES (USA) INC.
August 21, 2012 - August 26, 2014
STERNE, AGEE & LEACH, INC.
June 24, 2010 - May 21, 2012
NATWEST MARKETS SECURITIES INC.
August 10, 2005 - April 30, 2010
MORGAN STANLEY & CO. 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
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Exams
Series 55
Date: 10/1/2007
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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