Robert M. Bernstein

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CRD#: 2399328

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.

Robert Marc Bernstein was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1994. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 12, 2020 - November 5, 2021

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

DEERFIELD, IL

Past

June 20, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

DEERFIELD, IL

Past

April 14, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

DEERFIELD, IL

Past

April 14, 2008 - November 5, 2021

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

DEERFIELD, IL

Past

August 25, 2006 - March 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DEERFIELD, IL

Past

August 25, 2006 - March 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DEERFIELD, IL

Past

March 8, 1994 - September 22, 2006

INSIGHT SECURITIES, INC.

CRD#: 5611

NORTHBROOK, IL

Past

January 14, 1994 - March 2, 1994

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/5/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/24/1994

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 12/28/1993

Municipal Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert M. Bernstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

INSIGHT SECURITIES, INC.

RODMAN & RENSHAW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2006

Series 63

Date: 3/30/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/24/1994

Series 52

Date: 12/28/1993

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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