Glen Alan Berngard

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2016-02-23

FL RA
APPROVED

Since 2016-02-23

Branch Locations

Boca Raton, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
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
Berngard & Associates, Inc.	Boca Raton	FL	01/1987	Present
Cetera Financial Specialists Llc	Schaumburg	IL	10/1990	Present
Cetera Investment Advisers Llc	Schaumburg	IL	05/1996	Present

01/1987 → Present

Berngard & Associates, Inc.

Boca Raton, FL
10/1990 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
05/1996 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) BERNGARD & ASSOCIATES; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; CPA FIRM; START 7/1987; 40 HOURS/WEEK DURING TRADING HOURS; PRESIDENT W/ LIMITED POWER OF ATTORNEY FOR TAX MATTERS 2) AGENT FOR AETNA HEALTH INS; 980 JOLLY RD, BLUE BELL, PA; BUSINSS-HEALTH INS; AGENT SINCE 5/2009; 1 HR/WK; DUTIES-HEALTH INS AGT: 3) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS HEALTH 5)NAME OF OTHER BUSINESS: BERNGARD & ASSOCIATES - REGISTRED AGENT FOR VARIOUS COMPANIES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REGISTERED AGENT; START DATE: 2018; POSITION/TITLE/RELATIONSHIP: REGISTERED AGENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: PREPARE ANNUAL REPORTS, RECEIVING MAIL/CORRESPONDENCE FOR CLIENTS;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-08
S63	Uniform Securities Agent State Law Examination	1991-01-14

S65 Uniform Investment Adviser Law Examination

1999-01-08
S63 Uniform Securities Agent State Law Examination

1991-01-14

Designations

View on SEC IAPD