Marty L. Shobert

BERNARDI ASSET MANAGEMENT

Northfield, IL 60093

Some features on this profile are disabled

CRD#: 1029968

Professional summary

Marty Lee Shobert, who also goes by Marty L. Shobert, is a registered financial advisor currently at BERNARDI ASSET MANAGEMENT, LLC located in Northfield, Illinois and BERNARDI SECURITIES, INC. located in Northfield, Illinois.

Marty is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Marty has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marty L. Shobert

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.

BERNARDI ASSET MANAGEMENT, LLC. - INVESTMENT ADVISOR. THIS ENTITY IS AN INVESTMENT ADVISORY FIRM AND AFFILIATE OF BERNARDI SECURITIES, INC. THE ENTITY IS LOCATED AT 423 CENTRAL AVENUE, NORTHFIELD, IL 60093. START DATE WAS FEBRUARY 2017. TIME INVOLVED IS APPROXIMATELY 40+ HRS/WK. MAJORITY OF TIME SPENT DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marty Lee Shobert'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

February 1, 2017 - Present

BERNARDI ASSET MANAGEMENT, LLC

Office #1: 423 Central Avenue, Northfield, IL 60093

RIA

CRD#: 120110

Northfield, IL

Current

February 7, 2017 - Present

BERNARDI SECURITIES, INC.

Office #1: 423 Central Avenue, Northfield, IL 60093Office #2: 423 Central Avenue, Northfield, IL 60093

CRD#: 15834

Northfield, IL

Past

August 14, 2015 - December 31, 2016

TANGLEWOOD TAX & INVESTMENTS

RIA

CRD#: 277089

LISLE, IL

Past

June 18, 2013 - November 4, 2013

IFOCUS FINANCIAL, LLC

RIA

CRD#: 154029

MCLEAN, VA

Past

January 29, 2003 - December 31, 2007

MLS INVESTMENT MANAGEMENT

RIA

CRD#: 115680

MCLEAN, VA

Past

November 7, 1989 - July 28, 1998

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

April 11, 1988 - November 25, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

July 5, 1984 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

February 25, 1982 - August 3, 1984

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BERNARDI ASSET MANAGEMENT, LLC

CRD#: 120110 / SEC#: 801-68608

RIA

Registered Investment Advisory firm - (1/2/2008 Approved)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Illinois

Registered Investment Advisory firm - (1/2/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/8/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(2/14/2019)

Colorado
(2/14/2022)

Florida
(4/19/2018)

IAR

Illinois
(2/1/2017)

Illinois
(2/9/2017)

Indiana
(10/7/2020)

Iowa
(5/7/2018)

Kansas
(3/6/2025)

Minnesota
(2/14/2022)

New Jersey
(11/22/2021)

New York
(11/14/2022)

Oregon
(6/22/2017)

Pennsylvania
(12/8/2023)

Texas
(2/14/2022)

Virginia
(2/14/2022)

Wisconsin
(6/4/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/11/2017

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/17/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/2017

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/18/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 6

Date: 2/15/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BERNARDI ASSET MANAGEMENT, LLC

CRD#: 120110 / SEC#: 801-68608

RIA

Registered Investment Advisory firm - (1/2/2008 Approved)

Florida

Registered Investment Advisory firm - (1/14/2008 Terminated)

Illinois

Registered Investment Advisory firm - (1/2/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/8/2008 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

423 Central Avenue, Northfield, IL 60093

Mailing Address

Phone number

(312) 281-2021

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM FORM ADV PART 2 (11/19/2025)

Regulatory assets under management

Total Number of Accounts	146
AUM (Assets Under Management)	$ 330,996,086

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marty L. Shobert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marty Lee Shobert's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERNARDI SECURITIES, INC.

TANGLEWOOD TAX & INVESTMENTS

IFOCUS FINANCIAL, LLC

MLS INVESTMENT MANAGEMENT

ADVEST, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

BERNARDI ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/2017

Series 65

Date: 6/17/2013

SIE

Date: 10/1/2018

Series 7

Date: 2/7/2017

Series 3

Date: 7/18/1986

Series 6

Date: 2/15/1982

FINRA

Current Firm

BERNARDI ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BERNARDI ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors