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. Richard currently works with LPL Financial LLC. Prior to LPL Financial LLC, Richard Bernstein worked with RAYMOND JAMES & ASSOCIATES, INC., MORGAN KEEGAN & COMPANY, INC., WACHOVIA SECURITIES, LLC, A. G. EDWARDS & SONS, INC., JW CHARLES SECURITIES,INC., JW CHARLES SECURITIES, INC., CLAYTON SECURITIES SERVICES, INC., BERKSHIRE SECURITIES LTD INC and ADAMS, BLOCK & COE SECURITIES, INC.
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
FL
10/19/2018 - Present
LPL Financial LLC (NAPLES FL)
FL
02/13/2013 - 10/08/2018
RAYMOND JAMES & ASSOCIATES, INC. (FT. LAUDERDALE FL)
FL
08/22/2008 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (FT. LAUDERDALE FL)
FL
01/01/2008 - 08/27/2008
WACHOVIA SECURITIES, LLC (FORT LAUDERDALE FL)
FL
02/07/1997 - 01/03/2008
A. G. EDWARDS & SONS, INC. (FT. LAUDERDALE FL)
FL
01/03/1994 - 02/19/1997
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
FL
01/03/1992 - 01/03/1994
JW CHARLES SECURITIES, INC. (BOCA RATON FL)
MO
09/13/1991 - 01/10/1992
CLAYTON SECURITIES SERVICES, INC. (CLAYTON MO)
NA
08/09/1989 - 11/12/1991
BERKSHIRE SECURITIES LTD INC
FL
09/11/1987 - 10/18/1989
ADAMS, BLOCK & COE SECURITIES, INC. (FT. LAUDERDALE FL)
NA
11/20/1979 - 04/20/1987
FIRST INTERREGIONAL EQUITY CORP.
NA
10/29/1979 - 12/01/1979
GIBRALTAR SECURITIES CO.
BC
Issued 07/20/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/22/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/12/1989
Series 27 - Financial and Operations Principal Examination
BC
Issued 12/22/1987
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/19/1983
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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