RB
Richard S. Berg
PERFORMANCE TRUST CAPITAL PARTNERS
Chicago, IL 60661
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CRD#: 1077170
RB
Professional summary
Richard Scott Berg is a registered financial professional currently at PERFORMANCE TRUST CAPITAL PARTNERS, LLC located in Chicago, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Richard Scott Berg'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
October 13, 2004 - Present
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Office #1: 500 W. Madison Suite 450, Chicago, IL 60661BD
CRD#: 36155
Chicago, IL
Past
April 29, 1994 - November 4, 2002
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
CHICAGO, IL
Past
October 20, 1986 - March 21, 1994
CLAYTON BROWN & ASSOCIATES, INC.
BD
CRD#: 3664
Past
January 16, 1986 - October 3, 1986
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
Past
November 24, 1982 - March 21, 1994
CLAYTON BROWN & ASSOCIATES, INC.
BD
CRD#: 3664
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(2/17/2009)
RR
Alaska(1/6/2015)
RR
Arizona(1/6/2015)
RR
Arkansas(1/6/2015)
RR
California(2/10/2005)
RR
Colorado(2/10/2005)
RR
Connecticut(1/24/2013)
RR
Delaware(1/6/2015)
RR
District of Columbia(10/27/2008)
RR
Florida(2/10/2005)
RR
Georgia(1/6/2015)
RR
Hawaii(2/10/2005)
RR
Idaho(1/6/2015)
RR
Illinois(6/18/2025)
RR
Indiana(2/10/2005)
RR
Iowa(1/3/2005)
RR
Kansas(1/6/2015)
RR
Kentucky(1/6/2015)
RR
Louisiana(1/6/2015)
RR
Maine(11/13/2008)
RR
Maryland(10/22/2008)
RR
Massachusetts(10/2/2008)
RR
Michigan(2/10/2005)
RR
Minnesota(9/5/2008)
RR
Mississippi(1/6/2015)
RR
Missouri(12/6/2007)
RR
Montana(1/6/2015)
RR
Nebraska(2/10/2005)
RR
Nevada(2/10/2005)
RR
New Hampshire(8/13/2015)
RR
New Jersey(1/6/2015)
RR
New Mexico(11/10/2008)
RR
New York(2/10/2005)
RR
North Carolina(1/15/2015)
RR
North Dakota(9/17/2015)
RR
Ohio(2/11/2005)
RR
Oklahoma(1/6/2015)
RR
Oregon(1/7/2009)
RR
Pennsylvania(9/29/2008)
RR
Puerto Rico(2/10/2005)
RR
Rhode Island(2/17/2009)
RR
South Carolina(1/6/2015)
RR
South Dakota(2/10/2005)
RR
Tennessee(2/10/2005)
RR
Texas(2/10/2005)
RR
Utah(2/25/2009)
RR
Vermont(2/10/2005)
RR
Virginia(1/6/2015)
RR
Washington(1/6/2015)
RR
West Virginia(7/23/2015)
RR
Wisconsin(1/6/2015)
RR
Wyoming(2/10/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PT
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BETZOLD RESEARCH AND TRADING, INC. | PT CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, LLC | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | BETZOLD, BERG, NUSSBAUM & HEITMAN, INC. | BETZOLD, BERG & NUSSBAUM, INC. | BETZOLD, BERG & ASSOCIATES, INC.
CRD#: 36155 / SEC#: 801-72427, 8-47035
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
500 W. Madison Suite 450, Chicago, IL 60661
Mailing Address
500 W. Madison Suite 450, Chicago, IL 60661
Phone number
(312) 521-1452
Established
Illinois since 10/06/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
357
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BERG, RICHARD SCOTT | BOARD MEMBER | 1077170 |
| BROWN, ERIC PAUL | PRESIDENT - INSTITUTIONAL GROUP / BOARD MEMBER | 4213450 |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DOCHERTY, JENNIFER ANN | CORPORATE SECRETARY | 4587223 |
| DONOVAN, TRACI | GENERAL COUNSEL | 5694928 |
| GAZDA, RYAN M | CHIEF FINANCIAL OFFICER | 4230980 |
| GRAHAM, RICHARD WARWICK JR | PARTNER AND MANAGING DIRECTOR, BOARD MEMBER | 5836195 |
| JOHNSON, CRAIG STEPHEN | MANAGING DIRECTOR - TRADE DESK | 2339510 |
| JOHNSON, ZACHARY ROBERT | BOARD MEMBER | 5192352 |
| LEIBFRIED, BRIAN KEITH | MANAGING DIRECTOR, BOARD MEMBER | 4438951 |
| LOVE, KRISTIN M | CCO & COO | 4370951 |
| SALUTRIC, DAVID RAYMOND | HEAD OF CIA | 6146435 |
| SHAH, CHIRAG | CEO AND PRESIDENT / BOARD MEMBER | 4838599 |
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 301,689,867 |
Disclosures
| Regulatory Event | 8 |
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.
