Bradley Berg
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.
Bradley Berg, who also goes by Bradley William Berg, Bradley Berg, was a registered financial professional .
Bradley is a previously registered financial professional and started their career in finance in 1983. Bradley had worked at 11 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, SIE, Series 7, Series 3 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2021 - February 18, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 21, 2015 - October 29, 2015
PRUCO SECURITIES, LLC.
November 4, 2013 - September 22, 2015
MORGAN STANLEY
August 12, 2013 - September 22, 2015
MORGAN STANLEY
July 5, 2012 - November 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 2012 - November 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 2004 - September 9, 2004
MORGAN STANLEY DW INC.
September 23, 2002 - January 6, 2004
WAFRA SECURITIES, INC.
April 17, 2002 - August 8, 2002
TFS DERIVATIVES LLC
December 5, 2001 - March 13, 2002
SCHONFELD SECURITIES, LLC
February 26, 2001 - November 6, 2001
ELECTRONIC TRADING GROUP, LLC
February 18, 1983 - October 30, 1986
RIVIERE SECURITIES CORPORATION
January 19, 1983 - May 13, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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
Series 7TO
Date: 11/5/2021
General Securities Representative ExaminationSeries 55
Date: 3/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
