TB
Thomas P. Bernardi
BERNARDI ASSET MANAGEMENT
Northfield, IL 60093
Some features on this profile are disabled
CRD#: 6419579
TB
Professional summary
Thomas P Bernardi is a registered financial advisor currently at BERNARDI ASSET MANAGEMENT, LLC located in Northfield, Illinois and BERNARDI SECURITIES, INC. located in Northfield, Illinois.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Thomas has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 52, Series 7, Series 53, Series 27 and Series 24 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.
THOMAS BERNARDI IS ENGAGED IN THE FOLLOWING OUTSIDE BUSINESS ACTIVITIES: #1 PARTNER IN RTM LLC. THIS ENTITY INVESTS IN DISTRESSED CHICAGO REAL-ESTATE PROPERTIES. THE BUSINESS IS LOCATED AT 111 N. SUFFOLK LN LAKE FOREST IL 60045. START DATE WAS 02/2012. LIMITED TIME GIVEN ONLY OVER WEEKENDS, TOTALING LESS THAN AN HOUR/MONTH #2 MEMBER OF CHURCHILL FARMS HOLDINGS LLC. THIS ENTITY PURCHASES AND LEASES FARMLAND. THE ENTITY IS LOCATED AT 111 N. SUFFOLK LN LAKE FOREST IL 60045. THE START DATE WAS DECEMBER 2014. THE TIME INVOLVEMENT IS MINIMAL AND NOT DURING SECURITIES TRADING HOURS. #3 BERNARDI ASSET MANAGEMENT, LLC. CHIEF COMPLIANCE OFFICER JAN 2022. THIS ENTITY IS AN INVESTMENT ADVISOR FIRM AND AFFILIATE OF BERNARDI SECURITIES, INC. THE ENTITY IS LOCATED AT 423 CENTRAL AVENUE, NORTHFIELD, IL 60603. START DATE WAS MAY 2015. TIME INVOLVED IS APPROXIMATELY 40+ HRS/WK. MAJORITY OF TIME SPENT IS DURING TRADING HOURS. #4 PARTNER IN THURBER-JUNCTION LLC. ENTITY IS REAL ESTATE HOLDING LLC. ENTITY IS LOCATED AT 111 N SUFFOLK LN, LAKE FOREST IL 60045. START DATE WAS FEBRUARY 2020. TIME INVOLVEMENT IS MINIMAL.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas P Bernardi'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®
NoneExperience
Current
May 29, 2015 - Present
BERNARDI ASSET MANAGEMENT, LLC
Office #1: 423 Central Avenue, Northfield, IL 60093RIA
CRD#: 120110
Northfield, IL
Current
December 1, 2014 - Present
BERNARDI SECURITIES, INC.
Office #1: 423 Central Avenue, Northfield, IL 60093Office #2: 423 Central Avenue, Northfield, IL 60093BD
CRD#: 15834
Northfield, 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".
BA
BERNARDI ASSET MANAGEMENT, LLC
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)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.RR
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
RR
Arizona(9/15/2016)
RR
Arkansas(12/2/2020)
RR
California(9/15/2016)
RR
Colorado(9/15/2016)
RR
Connecticut(9/15/2016)
RR
District of Columbia(9/15/2016)
RR
Florida(9/15/2016)
RR
Georgia(9/15/2016)
RR
Illinois(12/19/2014)
IAR
Illinois(5/29/2015)
RR
Indiana(9/15/2016)
RR
Iowa(9/15/2016)
RR
Kentucky(9/15/2016)
RR
Maryland(9/15/2016)
RR
Massachusetts(9/15/2016)
RR
Michigan(9/15/2016)
RR
Minnesota(9/15/2016)
RR
Missouri(12/2/2020)
RR
Nevada(9/15/2016)
RR
New Jersey(9/15/2016)
RR
New Mexico(11/21/2018)
RR
New York(9/15/2016)
RR
North Carolina(9/15/2016)
RR
Ohio(9/15/2016)
RR
Oregon(9/15/2016)
RR
Pennsylvania(9/15/2016)
RR
South Carolina(9/15/2016)
RR
Texas(9/15/2016)
RR
Virginia(9/15/2016)
RR
Washington(9/15/2016)
RR
Wisconsin(9/15/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BA
BERNARDI ASSET MANAGEMENT, LLC
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
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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
22
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 146 |
| AUM (Assets Under Management) | $ 330,996,086 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
