Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Bernardy is a financial professional with over 40 years of experience in the industry. Keith is currently registered with LPL Financial LLC in Novato, CA. Keith has previously been registered with Securities America, Inc. in Novato, CA. Keith has also previously been registered with KMS Financial Services, Inc. in Novato, CA and ISFA Corporation in Appleton, WI. Keith is a Series 7 and Series 63 licensed professional. Keith has a background in portfolio management for businesses and individuals and provides consulting and other non-discretionary advisory services.
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.
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2
CA
04/22/2024 - Present
LPL Financial LLC (NOVATO CA)
CA
11/06/2020 - 04/26/2024
SECURITIES AMERICA, INC. (NOVATO CA)
CA
06/28/1989 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (NOVATO CA)
WI
01/07/1986 - 06/28/1989
ISFA CORPORATION (APPLETON WI)
NA
11/30/1983 - 10/19/1984
THOMSON MCKINNON SECURITIES INC.
NA
04/13/1981 - 11/28/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 02/21/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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