Andrew G. Bernhardt
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.
Andrew Gray Bernhardt, who also goes by Andrew G Bernhardt, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2018. Andrew had worked at 2 firms and has passed the Series 66, Series 99TO, Series 79TO, Series 7, SIE, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2019 - June 18, 2025
MAVEN CAPITAL PARTNERS, LLC
December 13, 2018 - August 4, 2025
MCA SECURITIES LLC
Primary Firm SEC Registration
MAVEN CAPITAL PARTNERS, LLC
CRD#: 300626 / SEC#: 801-130661
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 9/6/2019
Investment Banking Registered Representative ExaminationSeries 28
Date: 11/3/2019
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MAVEN CAPITAL PARTNERS, LLC
CRD#: 300626 / SEC#: 801-130661
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 134,568,784 |
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.
