Jonathan M. Bernstein

BAKERAVENUE

Southlake, TX 76092

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CRD#: 4517136

Professional summary

Jonathan Michael Bernstein, CFP® is a registered financial advisor currently at BAKERAVENUE located in Southlake, Texas.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Jonathan has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Jonathan Michael Bernstein'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®

CFP^®

Certified Financial Planner

Experience

Current

April 23, 2024 - Present

BAKERAVENUE

Office #1: 550 Reserve St #150, Southlake, TX 76092

RIA

CRD#: 132657

Southlake, TX

Past

May 15, 2020 - May 6, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

May 15, 2020 - May 6, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

July 13, 2018 - April 15, 2020

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

November 12, 2012 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

JERSEY CITY, NJ

Past

October 6, 2010 - April 14, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

May 7, 2002 - September 25, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(4/23/2024)

IAR

Florida
(5/9/2024)

IAR

New Jersey
(4/23/2024)

IAR

New York
(4/23/2024)

IAR

Texas
(4/23/2024)

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 66

Date: 12/16/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/9/2002

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: 10/5/2010

General Securities Representative Examination

Current Firm

BAKERAVENUE

BAKER AVENUE ASSET MANAGEMENT, LP | SIMONBAKER & PARTNERS LLC (RELYING ADVISER) | IRONWOOD CAPITAL MANAGEMENT, LLC | BAKERAVENUE WEALTH MANAGEMENT | BAKERAVENUE

CRD#: 132657 / SEC#: 801-63576

RIA

Registered Investment Advisory firm - (10/18/2004 Approved)

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Contact information

Main Address

One Embarcadero Center Ste 2530, San Francisco, CA 94111

Mailing Address

Phone number

(415) 986-1110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	3,138
AUM (Assets Under Management)	$ 3,771,014,366

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/05/2025	Cover Page	Report
08/28/2024	Cover Page	Report
04/02/2024	Cover Page	Report
03/14/2023	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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Firm Stability Insights

Jonathan M. Bernstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Michael Bernstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

EDWARD JONES

Primary Firm SEC Registration

BAKERAVENUE

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2010

Series 63

Date: 5/9/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/5/2010

Current Firm

BAKERAVENUE

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BAKERAVENUE

TRUST BUT VERIFY

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