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Bernard Anthony Unger
BERNARD ANTHONY UNGER, BERNIE UNGER
CRD#: 2242695
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 2350 NORTH FOREST RD, STE 26B
GETZVILLE, NY 14068
Registration History
19952000200520102015202020252 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2014 (<1 year)2 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2018 - 2021 (3 years)BNEXT FINANCIAL GROUP, INC. (CRD# 46214)2017 - 2018 (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2014 - 2017 (2 years)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2012 - 2012 (<1 year)BSECURITIES SERVICE NETWORK, INC. (CRD# 13318)1993 - 2010 (17 years)BSECURITIES AMERICA, INC. (CRD# 10205)1992 - 1993 (1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2021 - 2021 (<1 year)IATHREE LEVELS UP, LLC (CRD# 154868)2010 - 2011 (1 year)
Disclosure(s)
View By:
9/18/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Maryland 5/31/2023

IA
New York 5/30/2023

B
New York 5/30/2023

B
North Carolina 6/1/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
2350 NORTH FOREST RD, STE 26B, GETZVILLE, NY 14068
Registered with this firm since 5/30/2023

B
LPL FINANCIAL LLC (CRD#:6413)
2350 NORTH FOREST RD, STE 26B, GETZVILLE, NY 14068
Registered with this firm since 5/30/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/16/2021 - 05/30/2023 SPC (CRD#:110692) Getzville, NY
B
07/16/2021 - 05/30/2023 SIGMA FINANCIAL CORPORATION (CRD#:14303) Getzville, NY
IA
06/07/2021 - 07/22/2021 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Grand Island, NY
B
04/26/2018 - 07/22/2021 PRUCO SECURITIES, LLC. (CRD#:5685) Grand Island, NY
B
07/10/2017 - 04/24/2018 NEXT FINANCIAL GROUP, INC. (CRD#:46214) WILLIAMSVILLE, NY
B
10/23/2014 - 07/31/2017 PRUCO SECURITIES, LLC. (CRD#:5685) Clarence, NY
IA
02/11/2014 - 10/29/2014 HAZARD & SIEGEL ADVISORY SERVICES LLC (CRD#:151462) CHEEKTOWAGA, NY
B
01/02/2014 - 10/23/2014 HAZARD & SIEGEL, INC. (CRD#:2048) CHEEKTOWAGA, NY
IA
09/19/2012 - 01/27/2014 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) GRAND ISLAND, NY
B
09/18/2012 - 01/27/2014 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) GRAND ISLAND, NY
B
08/09/2012 - 09/28/2012 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) GRAND ISLAND, NY
IA
11/30/2010 - 12/31/2011 THREE LEVELS UP, LLC (CRD#:154868) WINTER HAVEN, FL
B
08/17/1993 - 09/30/2010 SECURITIES SERVICE NETWORK, INC. (CRD#:13318) CHEEKTOWAGA, NY
B
08/03/1992 - 09/24/1993 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.