Gerald W. 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.
Gerald William Bernard, who also goes by Gerald W Bernard, was a registered financial advisor .
Gerald is a previously registered financial advisor and started their career in finance in 1976. Gerald had worked at 15 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2007 - May 18, 2010
LPL FINANCIAL LLC
February 8, 2007 - April 6, 2010
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
February 6, 2007 - May 18, 2010
LPL FINANCIAL LLC
November 2, 2006 - April 6, 2010
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
December 19, 2001 - February 8, 2007
SII INVESTMENTS, INC.
February 24, 1998 - December 20, 2001
FSC SECURITIES CORPORATION
February 20, 1996 - March 3, 1998
FFP SECURITIES, INC.
December 20, 1994 - February 2, 1996
PIM FINANCIAL SERVICES, INC.
March 8, 1993 - November 30, 1994
WFG SECURITIES CORPORATION
May 2, 1989 - March 17, 1992
JOHN G. KINNARD AND COMPANY, INCORPORATED
May 27, 1988 - December 1, 1988
PRIMUS FINANCIAL SERVICES, INC.
February 9, 1987 - October 15, 1987
MERIT CAPITAL CORPORATION
August 8, 1985 - March 14, 1986
MURRAY SECURITIES CORPORATION
August 19, 1983 - September 13, 1985
MAY SECURITIES CORPORATION
December 14, 1978 - February 17, 1982
LEHMAN BROTHERS INC.
September 23, 1976 - January 4, 1979
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
