Aaron W. Bernstein

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CRD#: 5685567

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.

Aaron William Bernstein, who also goes by Aaron William Bernstein, Aaron Bernstein, was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2011. Aaron had worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 57 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aaron William Bernstein | Aaron 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 5, 2024 - October 25, 2024

TEXAS SECURITIES, INC.

CRD#: 120148

CARROLLTON, TX

Past

February 6, 2024 - June 7, 2024

TEXAS SECURITIES, INC.

CRD#: 120148

CARROLLTON, TX

Past

June 30, 2022 - January 8, 2024

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

DALLAS, TX

Past

June 30, 2022 - January 8, 2024

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

DALLAS, TX

Past

September 23, 2021 - December 13, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

February 4, 2019 - April 19, 2021

CAPIS

CRD#: 7551

DALLAS, TX

Past

March 20, 2018 - May 28, 2019

FINTECH SECURITIES

CRD#: 132873

ATLANTA, GA

Past

February 6, 2017 - March 9, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

August 22, 2016 - March 9, 2018

SCOTTRADE, INC.

CRD#: 8206

NOVI, MI

Past

October 12, 2015 - August 13, 2016

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

ANN ARBOR, MI

Past

October 2, 2012 - November 13, 2013

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ALPHARETTA, GA

Past

March 14, 2011 - August 9, 2012

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/23/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/6/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/21/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 8/27/2018

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 3/10/2011

General Securities Representative Examination

Current Firm

TEXAS SECURITIES, INC.

CRD#: 120148 / SEC#: , 8-65276

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

4024 Nazarene Suite B, Carrollton, TX 75010

Mailing Address

4024 Nazarene Suite B, Carrollton, TX 75010

Phone number

(972) 492-0058

Established

Texas since 01/18/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GRISHAM 2016 IRREVOCABLE TRUST	SHAREHOLDER
CHEATHAM ROBERTS, LAURIE PATRIECE	CHIEF COMPLIANCE OFFICER	2492833
FLEMING, JOHN COLLIN	PRESIDENT / TRUSTEE OF THE GRISHAM 2016 IRREVOCABLE TRUST	5119917
SMITH, RANDAL FRANKLIN	FINOP/CHIEF FINANCIAL OFFICER	4870049

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Aaron W. Bernstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TEXAS SECURITIES, INC.

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

FISHER INVESTMENTS

CAPIS

FINTECH SECURITIES

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

CONCORDE INVESTMENT SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

E*TRADE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/2021

Series 66

Date: 2/6/2017

Series 63

Date: 3/21/2011

SIE

Date: 10/1/2018

Series 57

Date: 8/27/2018

Series 7

Date: 3/10/2011

Current Firm

TEXAS SECURITIES, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TEXAS SECURITIES, INC.

TRUST BUT VERIFY

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