Individual Firm
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William Newell Bernardi
WILLIAM NEWELL BERNARDI JR, WILLIAM NEWELL BERNARDI, William Mewell Bernardi
CRD#: 4545186
IA
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HUNTINGTON FINANCIAL ADVISORSCRD#: 16986 PUBLIC SQUARE
200 PUBLIC SQUARE
CLEVELAND, OH 44114
200 PUBLIC SQUARE
CLEVELAND, OH 44114
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10/18/2018
Customer Dispute
Denied
3/12/2012
Customer Dispute
Settled
State Registrations
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Ohio 5/10/2023
B
Washington 10/3/2023
IA
Ohio 5/10/2023
SRO Registrations
B
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Registered with this firm since 5/10/2023
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Registered with this firm since 5/10/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/01/2010 - 04/28/2023 | CLEVELAND, OH | |
B | 01/26/2010 - 04/28/2023 | CLEVELAND, OH | |
IA | 11/16/2007 - 01/07/2010 | WILLOUGHBY, OH | |
B | 11/15/2007 - 01/07/2010 | WILLOUGHBY, OH | |
IA | 06/07/2006 - 11/13/2007 | BEECHWOOD, OH | |
B | 06/06/2006 - 11/13/2007 | BEECHWOOD, OH | |
IA | 04/10/2006 - 05/17/2006 | WESTLAKE, OH | |
B | 04/10/2006 - 05/17/2006 | WESTLAKE, OH | |
IA | 08/27/2004 - 01/19/2006 | CLEVELAND, OH | |
B | 08/26/2004 - 01/19/2006 | DETROIT, MI | |
B | 04/26/2004 - 05/27/2004 | ST. LOUIS, MO | |
IA | 01/13/2003 - 04/21/2004 | BEACHWOOD, OH | |
B | 12/18/2002 - 04/21/2004 | BALTIMORE, MD |
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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.