WB
WB
William Bernstein
41 Years of Experience
Dix Hills, NY
4 DisclosuresBroker
William Bernstein is a registered investment advisor at LPL Financial LLC, based in Dix Hills, NY, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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Location
Dix Hills, NY
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 1993Settled
Customer Dispute
September 1993Settled
Customer Dispute
April 1993Settled
Customer Dispute
September 1992Settled
Employment History
Current Registrations
LPL Financial LLC
August 2021 - Present · 4 yrs 9 mos
LPL Financial LLCBroker
February 2003 - Present · 23 yrs 3 mos
Previous Registrations
A. G. Edwards & Sons, INC.Broker
December 1995 - February 2003 · 7 yrs 2 mos
Advest, INC.Broker
November 1994 - January 1996 · 1 yr 2 mos
Prudential Securities IncorporatedBroker
April 1984 - November 1994 · 10 yrs 7 mos
State Registrations13 states
AZCACOFLGAMANCNVNYPASCTNTX
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.