Courtney J. Bercini
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.
Courtney John Bercini was a registered financial professional .
Courtney is a previously registered financial professional and started their career in finance in 1984. Courtney had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2010 - July 26, 2016
ROOSEVELT INVESTMENTS
May 15, 2009 - October 30, 2017
UNIFIED FINANCIAL SECURITIES, LLC
December 13, 2001 - November 2, 2007
EATON VANCE DISTRIBUTORS, INC.
November 12, 1999 - January 7, 2002
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 30, 1993 - February 2, 2000
NICHOLAS-APPLEGATE SECURITIES LLC
June 28, 1984 - April 5, 1993
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
March 2, 1984 - August 13, 1984
METLIFE INVESTORS DISTRIBUTION COMPANY
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
Current Firm
ROOSEVELT INVESTMENTS
CRD#: 107853 / SEC#: 801-38824
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,125 |
| AUM (Assets Under Management) | $ 2,692,553,479 |
Red Flags
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