Individual Firm
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RONALD HOWARD BERNSTEIN
CRD#: 2288701
IA
B
CAPITAL ANALYSTSCRD#: 162200 305 Melbourne Road
Great Neck, NY 11021
Great Neck, NY 11021
LINCOLN INVESTMENTCRD#: 519 GREAT NECK, NY
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2/12/2013
Customer Dispute
Pending
State Registrations
B
California 1/3/2022
B
New Jersey 1/3/2017
B
Colorado 1/3/2017
B
New York 1/3/2017
B
Florida 1/3/2017
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New York 3/25/2021
B
Georgia 9/25/2023
B
North Carolina 1/3/2017
B
Maryland 1/3/2017
B
South Carolina 1/3/2017
B
Massachusetts 1/3/2017
B
Virginia 1/3/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 7/9/2021
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B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/04/2002 - 10/04/2019 | GREAT NECK, NY | |
B | 01/05/1994 - 01/03/2017 | GREAT NECK, NY | |
B | 12/03/1993 - 01/03/1994 | PALM BEACH GARDENS, FL | |
B | 07/28/1993 - 12/06/1993 | SCOTTSDALE, AZ | |
B | 12/01/1992 - 07/29/1993 | DALLAS, TX |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.