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Bernard Unger

LPL Financial LLC
33 Years of Experience
Getzville, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Bernard Unger is a registered investment advisor at LPL Financial LLC, based in Getzville, NY, with 33 years of industry experience. Bernard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2350 North Forest Rd, Ste 26B, Getzville, NY, 14068

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History

Regulatory History (1)
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
September 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Bernard is associated with Inheritance Planning Group, LLC as a DBA for his LPL business. This activity is investment-related and takes nearly all of Bernard's time.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2023 - Present · 3 yrs 5 mos
LPL Financial LLC
May 2023 - Present · 3 yrs 5 mos
Previous Registrations
Sigma Financial CorporationBroker
July 2021 - May 2023 · 1 yr 10 mos
Spc
July 2021 - May 2023 · 1 yr 10 mos
Prudential Financial Planning Services
June 2021 - July 2021 · 1 mo
Pruco Securities, LLC.Broker
April 2018 - July 2021 · 3 yrs 3 mos
Next Financial Group, INC.Broker
July 2017 - April 2018 · 9 mos
Pruco Securities, LLC.Broker
October 2014 - July 2017 · 2 yrs 9 mos
Hazard & Siegel Advisory Services LLC
February 2014 - October 2014 · 8 mos
Hazard & Siegel, INC.Broker
January 2014 - October 2014 · 9 mos
Cambridge Investment Research Advisors, INC.
September 2012 - January 2014 · 1 yr 4 mos
Cambridge Investment Research, INC.Broker
September 2012 - January 2014 · 1 yr 4 mos
Hornor, Townsend & Kent, INC.Broker
August 2012 - September 2012 · 1 mo
Three Levels Up, LLC
November 2010 - December 2011 · 1 yr 1 mo
Securities Service Network, INC.Broker
August 1993 - September 2010 · 17 yrs 1 mo
Securities America, INC.Broker
August 1992 - September 1993 · 1 yr 1 mo
State Registrations3 states
MDNCNY
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.
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Bernard Unger - Financial Advisor | TrueAdvisor