Richard J. Bernstein
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.
Richard Joel Bernstein, who also goes by Richard J Bernstein, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2007. Richard had worked at 4 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2022 - September 23, 2024
HATTERAS CAPITAL DISTRIBUTORS, LLC
March 25, 2020 - June 9, 2022
DEER ISLE CAPITAL, LLC
March 19, 2019 - March 16, 2020
MARCH CAPITAL CORP.
June 1, 2007 - March 20, 2017
NYLIFE DISTRIBUTORS 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
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
HATTERAS CAPITAL DISTRIBUTORS, LLC
CRD#: 143365 / SEC#: , 8-67555
Contact information
FINRA licenses (53 States and Territories)
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.
