Roberto A. Bernal-figueroa

LYON BERN

San Juan, PR 00918

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CRD#: 6345673

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.

LB Risk Management LLC (LBRM). It is not an investment-related business. The address of the business is: 252 Ponce de Leon Ave., Suite 1403, San Juan, PR 00918. LBRM is a licensed insurance agency. Mr. Bernal is the owner and CEO of LBRM. LBRM was incorporated in August 2022. Mr. Bernal dedicates around 40 hours per month to this business. Mr. Bernal dedicates around 1-2 hours during securities trading hours to this business. LBRM is an authorized representative to sell life insurance, health insurance and disability insurance products. Mr. Bernal's duties range from the overall management of the business as the owner to design financial risk management strategies using insurance products.

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

CRD#: 10409

SAN JUAN, PR

Past

June 13, 2014 - October 26, 2016

EQUITABLE ADVISORS, LLC

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)

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: 1/18/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/12/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/13/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LYON BERN, LLC

CRD#: 301277 / SEC#:

Puerto Rico

Registered Investment Advisory firm - (3/6/2020 Approved)

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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

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	195
AUM (Assets Under Management)	$ 63,604,340

Red Flags

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Roberto A. Bernal-figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto A Bernal-figueroa's CRS (Customer Relationship Summary).

Certified licenses

Experience

LYON BERN, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2019

Series 63

Date: 8/12/2016

SIE

Date: 10/1/2018

Series 6

Date: 6/13/2014

Current Firm

LYON BERN, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LYON BERN, LLC

TRUST BUT VERIFY

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