Gregory L. Bernhardt
Professional summary
Gregory Lloyd Bernhardt, CFP®, who also goes by Greg Bernhardt, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Walnut Creek, California.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Gregory has worked at 16 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Lloyd Bernhardt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Lloyd Bernhardt's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1987
Experience
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
June 30, 2022 - July 15, 2022
NPB FINANCIAL GROUP, LLC
June 30, 2022 - July 15, 2022
NPB FINANCIAL GROUP, LLC
June 21, 2022 - July 1, 2022
KINGSWOOD CAPITAL PARTNERS, LLC
September 14, 2016 - June 22, 2022
NPB FINANCIAL GROUP, LLC
July 11, 2013 - June 22, 2022
NPB FINANCIAL GROUP, LLC
November 12, 2009 - February 19, 2013
SPC
August 3, 2009 - July 15, 2013
PARKLAND SECURITIES, LLC
February 8, 2008 - July 14, 2009
MSI FINANCIAL SERVICES, INC.
February 1, 2008 - July 14, 2009
MSI FINANCIAL SERVICES, INC.
January 12, 2005 - December 31, 2007
INVESTORS CAPITAL CORP.
September 26, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
June 2, 2003 - January 24, 2008
INVESTORS CAPITAL CORP.
March 19, 2003 - May 23, 2003
USALLIANZ SECURITIES, INC.
May 12, 2000 - March 19, 2003
INVESTORS CAPITAL CORP.
November 5, 1999 - May 11, 2000
FIRST SECURITIES USA, INC.
August 1, 1995 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
January 6, 1995 - June 6, 1995
OSAIC WEALTH, INC.
January 14, 1993 - January 4, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
May 24, 1991 - February 8, 1993
FIDELITY BROKERAGE SERVICES LLC
May 29, 1987 - May 29, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 14, 1986 - May 20, 1987
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1980 - February 10, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/19/2022)
(5/30/2024)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
(7/15/2022)
Exams
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
