Warren G. Berger

SALEM ADVISORY GROUP LLC

Wells, ME 04090

Some features on this profile are disabled

CRD#: 1003007

Professional summary

Warren George Berger III, who also goes by III Warren George Berger, Warren George Berger, Warren George III Berger, is a registered financial advisor currently at SALEM ADVISORY GROUP LLC located in Wells, Maine.

Warren is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Warren has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Iii Warren George Berger | Warren George Berger | Warren George Iii Berger

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren George Berger III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 5, 2009 - Present

SALEM ADVISORY GROUP LLC

Office #1: 1332 Post Road Suite 2a, Wells, ME 04090

RIA

CRD#: 145697

Wells, ME

Past

January 2, 2009 - December 31, 2015

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

WELLS, ME

Past

January 17, 2008 - October 20, 2008

PARK AVENUE SECURITIES LLC

CRD#: 46173

PORTLAND, ME

Past

October 31, 2006 - November 16, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PORTLAND, ME

Past

December 6, 2005 - October 11, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

SOUTH PORTLAND, ME

Past

December 6, 2005 - October 11, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SOUTH PORTLAND, ME

Past

January 12, 2005 - December 6, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

February 6, 2003 - January 28, 2005

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

July 29, 2002 - December 4, 2002

NEW ENGLAND SECURITIES

RIA

CRD#: 615

NEW ORLEANS, LA

Past

February 23, 1993 - December 4, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

September 12, 1990 - December 31, 1992

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 16, 1981 - December 31, 1989

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(1/5/2009)

IAR

New Hampshire
(2/11/2014)

IAR

Ohio
(4/29/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/5/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/23/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/2001

General Securities Principal Examination

Current Firm

SALEM ADVISORY GROUP LLC

SALEM ADVISORY GROUP LLC | STAFFORD ADVISORY GROUP LLC

CRD#: 145697 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (12/16/2014 Approved)

Maine

Registered Investment Advisory firm - (1/7/2008 Approved)

Massachusetts

Registered Investment Advisory firm - (1/2/2015 Approved)

New Hampshire

Registered Investment Advisory firm - (2/11/2014 Approved)

North Carolina

Registered Investment Advisory firm - (11/24/2021 Terminated)

Ohio

Registered Investment Advisory firm - (4/29/2019 Approved)

Texas

Registered Investment Advisory firm - (1/10/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1332 Post Road Suite 2a, Wells, ME 04090

Mailing Address

1332 Post Road Suite 2a, Wells, ME 04090

Phone number

(207) 641-8332

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	476
AUM (Assets Under Management)	$ 65,761,363

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

John Habig

MORGAN STANLEY

IAR

Rye, NH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Warren G. Berger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Warren George Berger III's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

PARK AVENUE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

PARK AVENUE SECURITIES LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

VOYA FINANCIAL ADVISORS, INC.

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/2006

SIE

Date: 12/31/2015

Series 7

Date: 2/5/2001

Series 6

Date: 9/23/1981

Series 24

Date: 6/19/2001

Current Firm

SALEM ADVISORY GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SALEM ADVISORY GROUP LLC

TRUST BUT VERIFY

Similar Advisors