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HB

Herbert B. Bernauer

Some features on this profile are disabled
CRD#: 875693
HB

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.

Herbert Benedict Bernauer, who also goes by Herb Bernauer, was a registered financial professional .

Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 10 firms and has passed the Series 63, Series 7, Series 24, Series 27 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Herb Bernauer

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

October 16, 1995 - December 31, 1996

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
NORTHRIDGE, CA
Past

November 30, 1992 - August 10, 1994

FIVE STAR RESOURCES, INC.

BD
CRD#: 30414
Past

September 4, 1990 - September 9, 1994

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 5, 1988 - August 24, 1992

TRIPLE CHECK FINANCIAL SERVICES, INC.

BD
CRD#: 13344
BURBANK, CA
Past

November 16, 1982 - March 29, 1988

GRIFFIN FINANCIAL SERVICES

BD
CRD#: 10823
Past

May 12, 1980 - March 31, 1982

LETTERMAN TRANSACTION SERVICES, INC.

BD
CRD#: 6477
Past

January 30, 1980 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

BD
CRD#: 76
Past

September 27, 1977 - October 17, 1979

DEXTER SECURITIES CORPORATION

BD
CRD#: 6895
Past

June 30, 1976 - April 29, 1977

STERN, FRANK, MEYER & FOX, INCORPORATED

BD
CRD#: 790
Past

March 6, 1970 - November 9, 1973

MITCHUM, JONES & TEMPLETON INCORPORATED

BD
CRD#: 584

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: 2/21/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/1983
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/24/1982
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/31/1978
Registered Options Principal Examination

Current Firm

GW
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
GREAT WESTERN BROKERAGE, INC. | GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229 / SEC#: , 8-30410

BD
Terminated by SEC on 07/26/1998
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/10/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

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