Bernard T. Weber
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 Thomas Weber was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1969. Bernard had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2006 - April 22, 2019
FELTL & COMPANY
September 27, 1996 - December 11, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
May 22, 1990 - September 27, 1996
MARCHE' SECURITIES, INC.
September 8, 1986 - May 3, 1990
HAYNE, MILLER FINANCIAL, INC.
February 4, 1983 - September 4, 1986
MORGAN STANLEY DW INC.
June 15, 1979 - February 7, 1986
DAIN RAUSCHER INCORPORATED
December 9, 1969 - July 20, 1979
JOHN G. KINNARD AND COMPANY, INCORPORATED
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 1
Date: 5/22/1969
Registered Representative ExaminationSeries 8
Date: 11/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
