Richard Bernstein, financial advisor Incline Village NV
83 score

Richard Bernstein

CRD Number: 1113777
Current Firm: Wells Fargo Advisors, LLC

Richard Bernstein (CRD# 1113777) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Incline Village, NV and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors, LLC Incline Village, NV Jul 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Jul 2015 < 1
Morgan Stanley Smith Barney LLC Crystal Bay, NV Nov 2014 - Jul 2015 < 1
Morgan Stanley Smith Barney LLC Wailea, HI Feb 2010 - Jul 2015 5
Morgan Stanley Smith Barney LLC Beverly Hills, CA Jun 2009 - Jul 2015 6
Morgan Stanley & Company Incorporated Beverly Hills, CA Apr 2009 - Jun 2009 < 1
Ubs Financial Services Inc. Beverly Hills, CA Feb 2003 - Apr 2009 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1983
S65 NASAA Investment Advisors Law Examination Oct 1995
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard J. Bernstein
Phone Number: 314-875-3000
Registered State(s):
  • NV
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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