Keith M. Bernstein

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Claim This Profile

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2000-02-11

TX RA
APPROVED

Since 2000-02-11

Branch Locations

13135 Dairy Ashford Rd, Sugar Land, TX 77478 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smtih, Inc.	Stafford	TX	10/1999	Present
Bank Of America,N.A.	Sugar Land	TX	06/2011	Present

10/1999 → Present

Merrill Lynch, Pierce, Fenner & Smtih, Inc.

Stafford, TX
06/2011 → Present

Bank Of America,N.A.

Sugar Land, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-02-10

S66 Uniform Combined State Law Examination

2000-02-10

Other Names

Keith M Bernstein

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE

SWEETWATER FINANCIAL ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

KESTRA ADVISORY SERVICES, LLC

Other Investors

BRANDON BAS CURTIS

Cody Alan Guyer

Keith Wayne Patterson

WESLEY OWEN BALES

JAMES BRYANT HAWRYLUK

DAVID BRYAN TEEL

Mark Anthony Leifrig

Other Offices

LPL FINANCIAL LLC · SUGAR LAND, TX

STATE FARM INVESTMENT MANAGEMENT CORP. · Sugar Land, TX

LPL FINANCIAL LLC · SUGAR LAND, TX

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SUGAR LAND, TX

WESLEY OWEN BALES INVESTMENT ADVISORY SERVICE · SUGAR LAND, TX

B.D. STERLING · SUGAR LAND, TX

LPL FINANCIAL LLC · SUGAR LAND, TX

SWEETWATER FINANCIAL ADVISORS, LLC · SUGAR LAND, TX

More in Sugar Land, TX

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor