Roger A. Bernhammer

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

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

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2025-09-12
NY	RA	APPROVED	2022-10-20

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Paramus	NJ	06/2019	08/2020
Costello & Associates	Lodi	NJ	10/2018	05/2019
Northwestern Mutual	Baltimore	MD	09/2018	12/2018
Axa Advisors (Equitable Financial Life Insurance Co)	Secaucus	NJ	07/2018	08/2018
Costello & Associates	Lodi	NJ	03/2014	06/2017
Loyola University	Baltimore	MD	08/2015	05/2019
Bank Of America, N.A.	Paramus	NJ	08/2019	08/2020
Ubs Financial Services Inc	Weehawken	NJ	08/2020	07/2021
Jpmorgan Securities Llc	Jersey City	NJ	07/2021	09/2022
Raa Lakes Llc	Franklin Lakes	NJ	10/2019	06/2022
Morgan Stanley	Purchase	NY	10/2022	Present

06/2019 → 08/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Paramus, NJ
10/2018 → 05/2019

Costello & Associates

Lodi, NJ
09/2018 → 12/2018

Northwestern Mutual

Baltimore, MD
07/2018 → 08/2018

Axa Advisors (Equitable Financial Life Insurance Co)

Secaucus, NJ
03/2014 → 06/2017

Costello & Associates

Lodi, NJ
08/2015 → 05/2019

Loyola University

Baltimore, MD
08/2019 → 08/2020

Bank Of America, N.A.

Paramus, NJ
08/2020 → 07/2021

Ubs Financial Services Inc

Weehawken, NJ
07/2021 → 09/2022

Jpmorgan Securities Llc

Jersey City, NJ
10/2019 → 06/2022

Raa Lakes Llc

Franklin Lakes, NJ
10/2022 → Present

Morgan Stanley

Purchase, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-09-27