Julia R. Bernhardt
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Julia Russell Bernhardt, who also goes by Julia R Bernhardt, Julia Russell Ernhardt, Julia Straub Russell, Julia Russell, Julie Russell, Julia S. Russell, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1989. Julia had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2017 - June 19, 2019
LPL FINANCIAL LLC
May 16, 2017 - May 31, 2019
LIGHTHOUSE ADVISERS, LLC
May 22, 2007 - May 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 21, 2007 - May 27, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2006 - March 15, 2007
CITIGROUP GLOBAL MARKETS INC.
June 18, 2004 - March 15, 2007
CITIGROUP GLOBAL MARKETS INC.
July 11, 2003 - April 6, 2004
BUTLER, WICK & CO., INC.
December 7, 1999 - September 5, 2002
NATCITY INVESTMENTS, INC.
March 31, 1999 - December 3, 1999
PRUDENTIAL EQUITY GROUP, LLC
November 9, 1998 - March 12, 1999
KEYBANC CAPITAL MARKETS INC.
February 10, 1997 - November 9, 1998
KEY CAPITAL MARKETS, INC.
November 25, 1992 - January 31, 1997
UBS FINANCIAL SERVICES INC.
February 12, 1991 - November 27, 1991
IDS LIFE INSURANCE COMPANY
February 12, 1991 - November 27, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 1990 - December 31, 1990
KIDDER, PEABODY & CO. INCORPORATED
November 21, 1989 - January 24, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
