MB
Martin T. Berger
WEITZEL FINANCIAL SERVICES
Dubuque, IA 52002
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CRD#: 1022057
MB
Professional summary
Martin Thomas Berger is a registered financial advisor currently at WEITZEL FINANCIAL SERVICES, INC. located in Dubuque, Iowa.
Martin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Martin has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME: BERGER BENEFITS (MARTIN BERGER) INV REL: N ADD: 14858 WEST RIDGE LANE, STE 10, DUBUQUE, IA 52003 NATURE: LIFE & HEALTH INSURANCE POSITION: AGENT/OWNER START DATE: 12/01/2000 NO. HR/MO: 200 NO. HR/MO DURING SEC TRADING: 160 DUTIES: LIFE & HEALTH INSURANCE SALES & SERVICE
CRS (Client Relationship Summary) - RIA
Click below to view Martin Thomas Berger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Martin Thomas Berger'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®
NoneExperience
Current
February 28, 2017 - Present
WEITZEL FINANCIAL SERVICES, INC.
Office #1: 2200 John F. Kennedy Rd Suite 103, Dubuque, IA 52002RIA
BD
CRD#: 27346
Dubuque, IA
Current
January 5, 2015 - Present
WEITZEL FINANCIAL SERVICES, INC.
Office #1: 2200 John F. Kennedy Rd Suite 103, Dubuque, IA 52002RIA
BD
CRD#: 27346
Dubuque, IA
Past
June 25, 1984 - December 8, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
DUBUQUE, IA
Past
April 8, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WEITZEL FINANCIAL SERVICES, INC.
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
CRD#: 27346 / SEC#: 801-118164, 8-43093
RIA
Registered Investment Advisory firm - SEC (3/4/2020 Approved)Illinois
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(1/12/2015)
RR
Iowa(1/5/2015)
IAR
Iowa(2/28/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WEITZEL FINANCIAL SERVICES, INC.
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
CRD#: 27346 / SEC#: 801-118164, 8-43093
RIA
Registered Investment Advisory firm - SEC (3/4/2020 Approved)Illinois
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
2200 John F Kennedy Rd Suite 103, Dubuque, IA 52002
Mailing Address
2200 John F. Kennedy Rd. Suite 103, Dubuque, IA 52002-2840
Phone number
(563) 583-6020
Established
Iowa since 08/01/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (5 States and Territories)
FINRA licenses (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,593 |
| AUM (Assets Under Management) | $ 274,305,590 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
