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RB

Roberto A. Bernal-figueroa

LYON BERN
San Juan, PR 00918
Some features on this profile are disabled
CRD#: 6345673
RB

Professional summary

Roberto A Bernal-figueroa is a registered financial advisor currently at LYON BERN, LLC located in San Juan, .

Roberto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Roberto has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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 Roberto A Bernal-figueroa's 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

March 6, 2020 - Present

LYON BERN, LLC

Office #1: 252 Ponce De Leon Avenue Suite 1403, San Juan, PR 00918
RIA
CRD#: 301277
San Juan, PR
Past

February 4, 2019 - March 4, 2020

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SAN JUAN, PR
Past

February 14, 2017 - March 4, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SAN JUAN, PR
Past

June 13, 2014 - October 26, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
HATO REY, PR

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
Puerto Rico
(3/6/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/18/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/13/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LB
LYON BERN, LLC
LYON BERN, LLC

CRD#: 301277 / SEC#:

Puerto Rico
Registered Investment Advisory firm - (3/6/2020 Approved)
PREMIUM
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Contact information

Main Address
252 Ponce De Leon Avenue Suite 1403, San Juan, PR 00918
Mailing Address
Phone number
(787) 238-6525
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts224
AUM (Assets Under Management)$ 76,669,733

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.

Company Information

LYON BERN, LLC

CRD#: 301277San Juan, PR 00918

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