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Michael Bernardo

Chief Compliance Officer at Hightower Advisors

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Michael Bernardo is Chief Compliance Officer of Hightower Advisors, LLC, a Chicago investment adviser managing $199B. Michael Bernardo has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Hightower Advisors

Title on Schedule A
Chief Compliance Officer
Control
Michael Bernardo is a control person of Hightower Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Michael Bernardo has held the filed role since July 2026.

The firm

Hightower Advisors, LLC
Chicago, IL

Form ADV filed 3 September 2026

$199B AUM64,035 clients953 advisers153 offices

Career on record

Firms and exams, newest first
  1. Passed Series 24 and SIE · 2018
  2. Passed Series 9, Series 10 and Series 3 · 2001
  3. Passed Series 7, Series 65, Series 63 and Series 31 · 1998

Registrations and exams

Broker registration; no current adviser registration. Michael Bernardo has passed 9 qualifying exams.

Examinations

Series 6320 November 1998
Name
Uniform Securities Agent State Law Examination
Series 6519 November 1998
Name
Uniform Investment Adviser Law Examination
Series 243 July 2018
Name
General Securities Principal Examination
Series 109 June 2001
Name
General Securities Sales Supervisor - General Module Examination
Series 95 April 2001
Name
General Securities Sales Supervisor - Options Module Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 317 December 2001
Name
National Commodity Futures Examination
Series 3125 November 1998
Name
Futures Managed Funds Examination
Series 73 November 1998
Name
General Securities Representative Examination

Individual record

Full name
Michael Bernardo
CRD
2709691
Firm
Hightower Advisors, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Michael Bernardo work?

Michael Bernardo has been Chief Compliance Officer of Hightower Advisors, LLC since July 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 3 September 2026

Does Michael Bernardo have a current investment-adviser registration?

Michael Bernardo has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Michael Bernardo passed?

Michael Bernardo has passed 9 licensing exams: the Series 7, Series 65, Series 63, Series 31, Series 9, Series 10, Series 3, Series 24 and SIE. The earliest, the Series 7, was passed in November 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Hightower Advisors

Sources

  1. IAPD individual record, CRD 2709691. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Hightower Advisors, LLC, filed 3 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Michael Bernardo or Hightower Advisors, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.