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RB

Richard J. Bernstein

QUASAR DISTRIBUTORS
New York, NY 10010
Some features on this profile are disabled
CRD#: 5254456
RB

Professional summary

Richard Joel Bernstein, who also goes by Richard J Bernstein, Richard Bernstein, is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 5 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard J Bernstein | Richard Bernstein

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) - BD

Click below to view Richard Joel Bernstein's CRS (Customer Relationship Summary).

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

Current

March 23, 2026 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 11 E 26th Street, New York, NY 10010
BD
CRD#: 103848
New York, NY
Past

August 10, 2022 - September 23, 2024

HATTERAS CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 143365
RALEIGH, NC
Past

March 25, 2020 - June 9, 2022

DEER ISLE CAPITAL, LLC

BD
CRD#: 146269
EAST HAMPTON, NY
Past

March 19, 2019 - March 16, 2020

MARCH CAPITAL CORP.

BD
CRD#: 24142
CHICAGO, IL
Past

June 1, 2007 - March 20, 2017

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/23/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/20/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/14/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/31/2007
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

QD
QUASAR DISTRIBUTORS, LLC
QUASAR DISTRIBUTORS, LLC

CRD#: 103848 / SEC#: , 8-52323

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/21/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRESIDENT/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENEVICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145

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

QUASAR DISTRIBUTORS, LLC

CRD#: 103848New York, NY 10010

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