Austin James Bernth

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-11-14

OH RA
APPROVED

Since 2024-11-14

Branch Locations

6728 Loop Road Suite 103, Centerville, OH 45459 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
J.P. Morgan Securities Llc	West Chester	OH	11/2022	03/2023
Jpmorgan Chase Bank Na	West Chester	OH	11/2022	03/2023
Northwestern Mutual	Cincinnati	OH	02/2021	09/2022
Knollwood Country Club (Clubcorp)	Granger	IN	08/2019	06/2020
Lutes Heating And Air	Granger	IN	11/2018	02/2019
United States Marine Corps	Oceanside	CA	11/2014	11/2018
Lowe's	Mooresville	NC	02/2019	05/2019
Unemployed	Mishawaka	IN	05/2019	08/2019
Unemployed	Norwood	OH	07/2020	01/2021
Unemployed	Lebanon	OH	10/2022	10/2022
The Prudential Insurance Company Of America	Cincinnati	OH	03/2023	Present
Pruco Securities, Llc	Cincinnati	OH	03/2023	11/2024
Lpl Enterprise, Llc	Columbus	OH	11/2024	Present

11/2022 → 03/2023

J.P. Morgan Securities Llc

West Chester, OH
11/2022 → 03/2023

Jpmorgan Chase Bank Na

West Chester, OH
02/2021 → 09/2022

Northwestern Mutual

Cincinnati, OH
08/2019 → 06/2020

Knollwood Country Club (Clubcorp)

Granger, IN
11/2018 → 02/2019

Lutes Heating And Air

Granger, IN
11/2014 → 11/2018

United States Marine Corps

Oceanside, CA
02/2019 → 05/2019

Lowe's

Mooresville, NC
05/2019 → 08/2019

Unemployed

Mishawaka, IN
07/2020 → 01/2021

Unemployed

Norwood, OH
10/2022 → 10/2022

Unemployed

Lebanon, OH
03/2023 → Present

The Prudential Insurance Company Of America

Cincinnati, OH
03/2023 → 11/2024

Pruco Securities, Llc

Cincinnati, OH
11/2024 → Present

Lpl Enterprise, Llc

Columbus, OH

Previous Registrations

2024-09-01 → 2024-11-14

Pruco Securities, Llc.

West Chester, OH

Columbus, OH

Other Businesses

1) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s) 2) 08/04/2025-Pine & Iron Lodge, LLC-Owner-Real Estate Rental-Inv related-At Grayling, MI-Start date 08/11/2025-5hrs/mth-0hrs/mth during trading 3) 12/15/2025-Modern Money Wealth Advisors-Member of DBA-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 01/01/2026-160hrs/mth-120hrs/mth during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-08-30
S63	Uniform Securities Agent State Law Examination	2023-05-03

S65 Uniform Investment Adviser Law Examination

2024-08-30
S63 Uniform Securities Agent State Law Examination

2023-05-03

Other Names

Aj Bernth
Austin Bernth

View on SEC IAPD