Martin L. Berman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Martin Lawrence Berman was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1970. Martin had worked at 4 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1995 - April 23, 2018
PALISADE CAPITAL MANAGEMENT, LP
May 3, 1995 - November 9, 2007
PALISADE CAPITAL SECURITIES, L.L.C.
June 4, 1990 - April 6, 1995
CITIGROUP GLOBAL MARKETS INC.
September 23, 1970 - March 14, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
PALISADE CAPITAL MANAGEMENT, LP
CRD#: 104581 / SEC#: 801-48401
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 12/2/1966
Registered Representative ExaminationCurrent Firm
PALISADE CAPITAL MANAGEMENT, LP
CRD#: 104581 / SEC#: 801-48401
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,412 |
| AUM (Assets Under Management) | $ 4,225,941,279 |
Red Flags
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