David Allan Bernstein
Professional Summary
David Allan Bernstein is a registered financial advisor currently at RAINMAKER SECURITIES, LLC located in Henderson, Nevada. David is registered as a RR (Registered Representative) and started their career in finance in 2012. David has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 79, Series 28 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
RAINMAKER SECURITIES, LLC
Contact Information
Main Address
2000 Salzedo Street, #1218 Attn: Rainmaker Securities, Llc, Coral Gables, FL 33134Mailing Address
382 Ne 191st St. #86647 #86647, Miami, FL 33179-3899Phone Number
(888) 333-1091Established
Delaware since 03/09/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (29 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
4Civil Event
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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.
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State Registrations and Notice Filings
(2/10/2016)
(2/10/2016)
(2/10/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jan 2011About the Series 79 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jun 2011About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Allan Bernstein's CRS (Customer Relationship Summary).
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