Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Bernstein is a financial advisor with LPL Financial LLC. Scott has been in the industry since 1997 and has experience in providing financial planning, portfolio management for individuals and businesses, and other non-discretionary advisory services. Scott is registered with the Financial Industry Regulatory Authority (FINRA) as a Registered Representative and also holds the Series 6, Series 7, Series 24, Series 63, and Series 65 licenses. Scott is registered in numerous states including California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Kansas, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Texas, Virginia, and Washington. Scott previously worked with Woodbury Financial Services, Inc., Park Avenue Securities LLC, AXA Advisors, LLC, The Equitable Life Assurance Society of the United States, Bear, Stearns & Co. Inc., and Royce Investment Group, Inc..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
05/16/2022 - Present
LPL Financial LLC (MINEOLA NY)
NY
06/01/2015 - 05/17/2022
WOODBURY FINANCIAL SERVICES, INC. (MINEOLA NY)
NY
03/02/2007 - 06/05/2015
LPL FINANCIAL LLC (MINEOLA NY)
NY
05/06/2004 - 03/19/2007
PARK AVENUE SECURITIES LLC (JERICHO NY)
NY
08/25/1997 - 04/26/2004
AXA ADVISORS, LLC (NEW YORK NY)
NY
08/25/1997 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
01/28/1994 - 03/30/1994
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
07/02/1993 - 10/28/1993
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
BOTH
Issued 08/17/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/22/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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