Morton R. Bearman
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.
Morton Robert Bearman II, who also goes by Robert Bearman, was a registered financial professional .
Morton is a previously registered financial professional and started their career in finance in 1981. Morton had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2014 - April 25, 2023
UHLMANN PRICE SECURITIES, LLC
May 29, 2012 - August 9, 2013
MESIROW FINANCIAL, INC.
April 19, 2004 - February 2, 2011
BARCLAYS CAPITAL INC.
November 13, 1985 - April 23, 2004
GOLDMAN SACHS & CO. LLC
March 15, 1984 - September 17, 1985
MORGAN STANLEY DW INC.
March 23, 1981 - February 29, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 2/19/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UHLMANN PRICE SECURITIES, LLC
CRD#: 42854 / SEC#: , 8-50041
Contact information
FINRA licenses (51 States and Territories)
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.
