BN
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
23 advisors
Number of Clients
1,119 clients
Average Client Portfolio
$442K average
Assets Under Management
$494.4M
Fee Structure
Minimum Investment:$5K
Minimum Annual Fee:$200
Fees for asset management services are negotiated between you and your Financial Advisor, with a maximum of 2.00% annually (1.50% for Annuity Allocations). There's a minimum annual fee of $200 ($300 for UMA accounts). The American Funds F2 Direct-at-Fund Platform has a fixed fee of 0.75%. Financial consulting is available at an hourly or fixed rate. Fees are deducted from your account or billed directly.
Areas of Practice
Retirement PlanningEstate PlanningCharitable GivingEducation PlanningFinancial Planning & CoachingInsurance PlanningInvestment Management
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Advisor Information
Office location
2 Perimeter Park South, Suite 500 West, Birmingham, AL, 35243
Get directionsRegulatory 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
March 2011Settled
Regulatory
September 2004Final
Customer Dispute
March 2002Settled
Customer Dispute
March 2000Denied
Other Business ActivitiesSells Insurance
Bernard is the sole owner and president of Investment Securities Group, which provides a location for his primary business as a StoneX advisor and involves investment of securities and insurance products. He spends minimal time on this outside business activity.
Employment History
Current Registrations
Stonex Securities INC.Broker
October 2024 - Present · 1 yr 3 mos
Trust Advisory Group Ltd
March 2010 - Present · 15 yrs 10 mos
Previous Registrations
Ages Financial Services, Ltd.Broker
February 2010 - September 2024 · 14 yrs 7 mos
Delta Global Asset Management
June 2005 - February 2010 · 4 yrs 8 mos
Delta Equity Services CorporationBroker
May 2003 - February 2010 · 6 yrs 9 mos
Raymond James Financial Services, INC.Broker
November 1997 - June 2003 · 5 yrs 7 mos
Dean Witter Reynolds INC.Broker
September 1992 - November 1997 · 5 yrs 2 mos
Painewebber Incorporated Broker
June 1988 - September 1992 · 4 yrs 3 mos
Shearson Lehman Hutton INC.Broker
March 1986 - July 1988 · 2 yrs 4 mos
Pruco Securities Corporation Broker
July 1984 - January 1986 · 1 yr 6 mos
State Registrations11 states
CTFLMAMEMINCNHNYSCTXVT
AdvisorBrokerBoth
Exams
No exam information available for this advisor.