Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Bernstein is a financial advisor at LPL Financial LLC. Joan has been in the financial industry since 1992, and holds the Series 7, 24, 31, 63 and 65 securities licenses. Joan is registered to provide investment advice in 15 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
05/26/2010 - Present
LPL Financial LLC (WESTLAKE VILLAGE CA)
CA
03/09/2002 - 02/12/2009
RBC CAPITAL MARKETS CORPORATION (WOODLAND HILLS CA)
CA
11/10/1993 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
03/13/1992 - 11/10/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 03/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Joan Bernstein is the right advisor for you? Invested Better is here to help.
