Joseph Constantine Bernardi

Employer firm

Nations Financial Group, Inc. CRD 44181

$4.77B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2015 → 07/2019
  Wunderlich Securities, Inc.
  Memphis, TN
• 07/2019 → Present
  Nations Financial Group, Inc.
  Dubuque, IA

Previous Registrations

• 2015-09-21 → 2019-07-02
  B. Riley Wealth Management
  Dubuque, IA
  Chicago, IL
• 2010-07-02 → 2015-09-21
  Vsr Financial Services, Inc.
  Overland Park, KS
  Dubuque, IA
  Lake Forrest, IL
  Dripping Springs, TX
• 2000-02-01 → 2010-07-08
  Berthel, Fisher & Company Financial Services, Inc.
  Dubuque, IA
  Maquoketa, IA
  Dubuque, IA

Other Businesses

1. Core Investments Group. 40 Main St., Dubuque, IA 52001. Is investment related. Nature of business is DBA offering wealth management. Position is registered representative. Started 7/1/19. Approx 180 hrs/month on this business, with 130 hrs during security trading hrs. Responsibilities related to wealth management business including investment portfolio management and planning functions /// 2. Bernardi Group, LLC. 40 Main St., Suite 103 Dubuque, IA 52001. Is investment related. Nature of business is DBA used for investment business. Position is President. Started 7/5/2019. Approx 40 hrs/month on business, with 6 during security trading hrs. Duties are as Investment Advisor.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-03
• S63 Uniform Securities Agent State Law Examination
  1984-05-02

Designations

• Certified Financial Planner