Peter E. Raines

BERNARDI ASSET MANAGEMENT

Northfield, IL 60093

Some features on this profile are disabled

CRD#: 5570031

Professional summary

Peter Eugene Raines is a registered financial advisor currently at BERNARDI ASSET MANAGEMENT, LLC located in Northfield, Illinois and BERNARDI SECURITIES, INC. located in Northfield, Illinois.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Peter has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 24 and Series 53 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.

Bernardi Asset Management, LLC. - Vice President, Underwriter. This entity is an investment advisor firm and affiliate of Bernardi Securities. Inc. The entity is located at 423 Central Avenue, Northfield, IL 60093. Start date was December 2023. Time involvement is approximately 40 hours/week. Majority of time spent is during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Eugene Raines'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

December 11, 2023 - Present

BERNARDI ASSET MANAGEMENT, LLC

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

RIA

CRD#: 120110

Northfield, IL

Current

August 16, 2023 - Present

BERNARDI SECURITIES, INC.

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

CRD#: 15834

Northfield, IL

Past

December 9, 2020 - July 21, 2023

CINCAP INVESTMENT GROUP, LLC

CRD#: 118392

Indianapolis, IN

Past

June 13, 2017 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

RIA

CRD#: 25440

INDIANAPOLIS, IN

Past

June 13, 2017 - June 15, 2020

ROSS, SINCLAIRE & ASSOCIATES, LLC

CRD#: 25440

INDIANAPOLIS, IN

Past

December 23, 2008 - December 31, 2016

CITY SECURITIES CORPORATION

RIA

CRD#: 1459

INDIANAPOLIS, IN

Past

September 30, 2008 - December 31, 2016

CITY SECURITIES CORPORATION

CRD#: 1459

INDIANAPOLIS, IN

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

Illinois
(8/16/2023)

IAR

Illinois
(12/11/2023)

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

IAR

Series 66

Date: 12/22/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/16/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/14/2023

Municipal Securities Principal 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

Peter E. Raines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Eugene Raines's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERNARDI SECURITIES, INC.

CINCAP INVESTMENT GROUP, LLC

ROSS, SINCLAIRE & ASSOCIATES, LLC

ROSS, SINCLAIRE & ASSOCIATES, LLC

CITY SECURITIES CORPORATION

CITY SECURITIES CORPORATION

Primary Firm SEC Registration

BERNARDI ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2008

Series 52TO

Date: 8/16/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/29/2008

Series 24

Date: 3/1/2025

Series 53

Date: 11/14/2023

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