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Keith James Bernardy

LPl Financial LLC

Novato, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-04-22
  • CA RA
    APPROVED
    Since 2024-04-22

Branch Locations

Novato, CA • 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
OrganizationCityStateFromTo
Kms Financial Services, Inc. Seattle WA 06/1989 11/2020
Securities America, Inc. Novato CA 11/2020 04/2024
Securities America Advisors, Inc. Novato CA 11/2020 04/2024
Lpl Financial Novato CA 04/2024 Present
  • 06/1989 → 11/2020
    Kms Financial Services, Inc.
    Seattle, WA
  • 11/2020 → 04/2024
    Securities America, Inc.
    Novato, CA
  • 11/2020 → 04/2024
    Securities America Advisors, Inc.
    Novato, CA
  • 04/2024 → Present
    Lpl Financial
    Novato, CA
Previous Registrations
  • 2020-11-06 → 2024-04-26
    Securities America Advisors, Inc.
    Novato, CA
  • 1997-07-08 → 2020-11-06
    Kms Financial Services, Inc.
    Novato, CA
    Seattle, WA
Other Businesses

1. 03/22/2024- Bernardy Financial Group- DBA for LPL Business (entity for LPL business)- At Reported Business Location (s)- Inv Rel

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-02-21
  • S63 Uniform Securities Agent State Law Examination
    1984-02-21

View on SEC IAPD

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