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JB

Jeffrey A. Bond

Some features on this profile are disabled
CRD#: 6117196
JB

Professional summary

Jeffrey Alan Bond was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Jeffrey had worked at 1 firm, which includes DAVID LERNER ASSOCIATES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 29, 2012 - July 16, 2014

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
PRINCETON, NJ

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
RR
Series 63
Date: 12/19/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/28/2012
General Securities Representative Examination

Current Firm

DAVID LERNER ASSOCIATES, INC.
DAVID LERNER ASSOCIATES, INC.
DAVID LERNER ASSOCIATES, INC.

CRD#: 5397 / SEC#: , 8-20746

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

Main Address
477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006
Mailing Address
477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006
Phone number
(516) 921-4200
Established
New York since 11/06/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LERNER, DAVIDSHAREHOLDER307120
HOLEMAN, ALLEN BERNARDCHIEF COMPLIANCE OFFICER1060910
SANTOS, ERIKA VALERIAFINOP6218921
WALCOE, MARTIN KEVINPRESIDENT1593935

Disclosures

Regulatory Event22
Arbitration19

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

DAVID LERNER ASSOCIATES, INC.

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

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