Thomas E. Berghage
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.
Thomas Eugene Berghage, who also goes by Tom Berghage, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 63, Series 7 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
August 9, 2007 - December 31, 2017
NEUWORLD FINANCIAL
June 27, 2007 - June 27, 2007
NEUWORLD FINANCIAL
January 17, 1996 - April 1, 1996
INTERNATIONAL SECURITIES GROUP, INC.
February 1, 1995 - January 14, 2006
NEUWORLD FINANCIAL
October 24, 1989 - February 23, 1994
VANGUARD CAPITAL
March 22, 1989 - September 20, 1989
TAMARON INVESTMENTS, INC.
April 25, 1988 - June 9, 1989
INDEPENDENT INVESTMENT BROKERS OF AMERICA
September 18, 1987 - May 10, 1988
SENTRA SECURITIES CORPORATION
April 14, 1983 - July 31, 1987
FIRST AFFILIATED SECURITIES, INC.
January 28, 1983 - February 19, 1985
SAN DIEGO SECURITIES INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
NEUWORLD FINANCIAL
CRD#: 120547 / SEC#:
Contact information
Red Flags
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