Alan Jay Bernstein

Current Employers

Employment History

• 10/2004 → Present
  Maiorano & Associates
  Bridgeport, CT
• 07/2009 → Present
  Sound Coaching Inc
  Bridgeport, CT
• 02/2011 → 05/2017
  American Portfolios Financial Services, Inc
  Holbrook, NY
• 05/2017 → Present
  Centaurus Financial Inc.
  Anaheim, CA
• 04/2012 → Present
  Ct Institute Of Finance
  Bridgeport, CT

Previous Registrations

• 2013-04-11 → 2017-06-01
  American Portfolios Advisors, Inc
  Holbrook, NY
• 2008-03-27 → 2013-04-18
  Sound Asset Management Group, Llc
  Bridgeport, CT
  Brooklyn, NY
• 2006-02-09 → 2009-12-31
  Sound Asset Management, Inc.
  Bridgeport, CT

Other Businesses

1. CT INSTITUTE OF FINANCE, NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, DBA FOR MARKETING AND BRANDING PURPOSES, IAR, SINCE 4/18/2012. CONNECTICUT INSTITUTE OF FINANCE, NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, TAX PREPARATION, TAX PREPARER, SINCE 1/1/2003, DEVOTED TIME IS 240 HOUR A MONTH FROM JAN. TO APRIL. SOUND COACHING INC., NON-INVESTMENT RELATED, 4749 MAIN ST., BRIDGEPORT, CT 06606, COACHING, COACH, SINCE 1/1/2009, DEVOTED TIME IS 35 HOURS A MONTH, COACH CLIENTS ON THEIR INDIVIDUAL NEEDS AND BUSINESS NEEDS. 2. CT INSTITUTE OF FINANCE POSITION: Tax Preparer NATURE: Tax Preparation Planning and Advice INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 5 START DATE: 04/18/2012 ADDRESS: 231 Coram Ave, Shelton CT 06485, United States DESCRIPTION: Prepare and Plan Taxes and help with IRS matters 3. CT INSTITUTE OF FINANCE POSITION: Investment Advisor Representative NATURE: CT INSTITUTE OF FINANCE for Marketing and Branding Purposes INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 04/18/2012 ADDRESS: 231 Coram Ave, Shelton CT 06484, United States DESCRIPTION: Investment and Advisory Services for Clients 4. SOUND COACHING INC POSITION: Certified Coach NATURE: Help individual and small business set, create and achieve goals to help them get to the next level in their lives INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/09/2009 ADDRESS: 231 Coram Ave, Shelton CT 06484, United States DESCRIPTION: Sitting with clients and talking about their goals and help them achieve them

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-03-27
• S63 Uniform Securities Agent State Law Examination
  2002-06-26