Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Bernstein is a financial advisor with over 40 years of experience in the industry. Richard is registered with Wells Fargo Clearing Services, LLC in California, Hawaii, Nevada and Texas. Richard has previously been employed by Morgan Stanley, UBS Financial Services Inc., Salomon Smith Barney Inc., Prudential Securities Incorporated and Bear, Stearns & Co. Inc. Richard has a strong track record of success in providing investment advice to a variety of clients, including individuals, families, and businesses. Richard is dedicated to providing personalized financial advice to help clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
NV
07/01/2015 - Present
Wells Fargo Clearing Services, LLC (INCLINE VILLAGE NV)
CA
06/01/2009 - 07/02/2015
MORGAN STANLEY (BEVERLY HILLS CA)
CA
04/03/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEVERLY HILLS CA)
CA
02/28/2003 - 04/14/2009
UBS FINANCIAL SERVICES INC. (BEVERLY HILLS CA)
NY
04/27/1992 - 03/13/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
12/12/1988 - 05/22/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/12/1985 - 12/20/1988
BEAR, STEARNS & CO. INC.
NA
04/21/1983 - 09/03/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 10/11/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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