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Detailed Report
ERIC EDWARD BERNDT
ERIC BERNDT
CRD#: 4824438
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 PARKER, CO
CHARLES SCHWAB & CO., INC.CRD#: 5393 PARKER, CO
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2011 - 2014 (3 years)2 FIRMS2014 - Present (10 years)BEDWARD JONES (CRD# 250)2004 - 2004 (<1 year)IAUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)2011 - 2011 (<1 year)
License(s)

State Registrations

B
Alabama 7/23/2014
B
Mississippi 1/25/2024
B
Alaska 10/5/2015
B
Missouri 7/21/2014
B
Arizona 8/15/2014
B
Montana 7/22/2014
B
Arkansas 7/22/2014
B
Nevada 7/29/2014
B
California 7/21/2014
B
New Mexico 12/2/2014
B
Colorado 7/22/2014
B
North Carolina 12/6/2016
IA
Colorado 7/22/2014
B
Ohio 11/17/2014
B
Florida 7/28/2014
B
Oklahoma 7/22/2014
B
Georgia 10/17/2024
B
Pennsylvania 2/2/2015
B
Hawaii 10/8/2015
B
Tennessee 2/11/2025
B
Illinois 9/15/2014
B
Texas 8/1/2014
B
Iowa 12/3/2014
IA
Texas 1/8/2020
B
Kansas 7/25/2014
B
Virginia 11/25/2019
B
Louisiana 7/25/2014
B
Washington 7/28/2014
B
Maine 11/25/2014
B
Wisconsin 2/7/2024
B
Massachusetts 2/7/2024
B
Wyoming 12/2/2014
B
Minnesota 12/9/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
PARKER, CO
Registered with this firm since 7/22/2014
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
PARKER, CO
Registered with this firm since 7/21/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/19/2011 - 06/26/2014 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) COLORADO SPRINGS, CO
B
 01/12/2011 - 06/26/2014 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) COLORADO SPRINGS, CO
IA
 02/28/2011 - 12/21/2011 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) COLORADO SPRINGS, CO
B
 09/08/2004 - 10/25/2004 EDWARD JONES (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.