Daniel P. Bernardi
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.
Daniel Paul Bernardi, who also goes by Dan Paul Bernardi, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 3 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2011 - January 9, 2012
WJB CAPITAL GROUP, INC.
January 14, 2008 - September 15, 2010
THE BENCHMARK COMPANY, LLC
January 1, 2005 - August 24, 2007
B. RILEY SECURITIES, INC.
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 55
Date: 11/26/2008
Limited Representative-Equity Trader ExamCurrent Firm
WJB CAPITAL GROUP, INC.
CRD#: 37334 / SEC#: , 8-47700
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
