Richard Bernstein
Richard Bernstein is a registered investment advisor at Wells Fargo Advisors, based in Kihei, HI, with 43 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
Kihei, HI
Get directionsHistory
Regulatory History (8)
Customer Dispute
February 2019Customer Dispute
January 2019Customer Dispute
December 2009Customer Dispute
November 2008Customer Dispute
October 2008Customer Dispute
March 2008Customer Dispute
June 1994Customer Dispute
December 1992Other Business Activities
Richard owns rental properties in Kihei, Hawaii, and Eugene, Oregon. He spends minimal time on these activities.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Salomon Smith Barney INC.
Salomon Smith Barney INC.Broker
Prudential Securities IncorporatedBroker
Bear, Stearns & CO. INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations26 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.