Bernard August Ventura

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2020-03-24

NJ RA
APPROVED

Since 2020-03-24

Branch Locations

Gladstone, NJ • 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Florham Park	NJ	12/2012	03/2020
Lpl Financial, Llc	Chester	NJ	03/2020	Present

12/2012 → 03/2020

Rbc Capital Markets, Llc

Florham Park, NJ
03/2020 → Present

Lpl Financial, Llc

Chester, NJ

Previous Registrations

2012-12-14 → 2020-04-02

Rbc Capital Markets, Llc

Florham Park, NJ
2009-06-01 → 2012-12-20

Morgan Stanley

Morristown, NJ
2007-10-22 → 2009-06-01

Morgan Stanley & Co. Llc

Morristown, NJ
2005-07-27 → 2007-10-25

A. G. Edwards & Sons, Inc.

Bernardsville, NJ

Bernardsville, NJ

Other Businesses

1. 03/23/2020 - GLADSTONE ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ CHESTER, NJ

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-04-05

S63 Uniform Securities Agent State Law Examination

1983-04-05

View on SEC IAPD