David L. Bernard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Lane Bernard was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - March 29, 2021
KESTRA ADVISORY SERVICES, LLC
January 25, 2002 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
August 20, 1999 - March 29, 2021
KESTRA INVESTMENT SERVICES, LLC
July 13, 1992 - July 26, 1999
OSAIC WEALTH, INC.
July 24, 1990 - October 22, 1990
PRINCIPAL SECURITIES, INC.
April 19, 1988 - July 23, 1988
CARILLON INVESTMENTS, INC.
March 6, 1986 - November 23, 1987
MML INVESTORS SERVICES, LLC
November 27, 1985 - December 23, 1985
MML INVESTORS SERVICES, LLC
January 28, 1975 - October 25, 1985
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 1/24/1975
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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