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WB

Wayne E. Bernardo

SAXONY SECURITIES
Evergreen, CO
Some features on this profile are disabled
CRD#: 1005142
WB

Professional summary

Wayne Edward Bernardo is a registered financial professional currently at SAXONY SECURITIES, INC. located in Evergreen, Colorado.

Wayne is registered as a RR (Registered Representative) and started their career in finance in 1981. Wayne has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Bernardo Asset Management, LLC; DBA for investment-related business

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Wayne Edward Bernardo's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 9, 2023 - Present

SAXONY SECURITIES, INC.

BD
CRD#: 115547
Evergreen, CO
Past

June 9, 2023 - December 31, 2023

SAXONY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 122692
Evergreen, CO
Past

June 28, 2019 - June 13, 2023

COLORADO FINANCIAL SERVICE CORPORATION

RIA
CRD#: 104343
EVERGREEN, CO
Past

June 28, 2019 - June 13, 2023

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
EVERGREEN, CO
Past

June 4, 2012 - June 28, 2019

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
EVERGREEN, CO
Past

June 4, 2012 - June 28, 2019

SECURITIES AMERICA, INC.

BD
CRD#: 10205
EVERGREEN, CO
Past

June 3, 2008 - June 5, 2012

GENEOS WEALTH MANAGEMENT, INC.

RIA
CRD#: 120894
EVERGREEN, CO
Past

April 30, 2008 - June 5, 2012

GENEOS WEALTH MANAGEMENT, INC.

BD
CRD#: 120894
EVERGREEN, CO
Past

March 2, 1999 - April 14, 2008

LPL FINANCIAL LLC

RIA
CRD#: 6413
EVERGREEN, CO
Past

December 16, 1991 - April 14, 2008

LPL FINANCIAL LLC

BD
CRD#: 6413
EVERGREEN, CO
Past

June 4, 1991 - December 16, 1991

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 25, 1986 - May 3, 1990

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

March 3, 1983 - November 21, 1986

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

August 24, 1981 - June 9, 1982

OTC NET INCORPORATED

BD
CRD#: 7756

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(4/3/2024)
RR
Colorado
(6/9/2023)
RR
Georgia
(5/28/2025)
RR
Iowa
(3/28/2025)
RR
Minnesota
(6/15/2023)
RR
Montana
(6/15/2023)
RR
Texas
(7/14/2023)
RR
Wisconsin
(6/9/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/11/1992
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SAXONY SECURITIES, INC.

CRD#: 115547Evergreen, CO

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