Robert E. Berg

CETERA INVESTMENT ADVISERS LLC

WATERTOWN, CT 06795

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CRD#: 1218879

Professional summary

Robert Eugene Berg, who also goes by Bob Berg, Robert E Berg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Watertown, Connecticut and CETERA WEALTH SERVICES, LLC located in Watertown, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Berg | Robert E Berg

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.

1) BERG WEALTH MANAGEMENT; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; INVESTMENT SERVICES THROUGH SUMMIT BROKERAGE; OWNER; 06/06/2014; APPX 160 HRS/MONTH; APPX 160 HRS/MONTH DURING TRADING; MANAGE CLIENT INVESTEMENTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Eugene Berg's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 54 Hillcrest Ave, Watertown, CT 06795

RIA

CRD#: 105644

WATERTOWN, CT

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WATERTOWN, CT

Past

March 22, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

June 6, 2014 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

DANBURY, CT

Past

June 6, 2014 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

DANBURY, CT

Past

June 1, 2009 - July 2, 2014

MORGAN STANLEY

RIA

CRD#: 149777

RIDGEFIELD, CT

Past

June 1, 2009 - July 2, 2014

MORGAN STANLEY

CRD#: 149777

RIDGEFIELD, CT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

RIDGEFIELD, CT

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

RIDGEFIELD, CT

Past

August 11, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DANBURY, CT

Past

August 10, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

DANBURY, CT

Past

July 13, 2006 - July 18, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WHITE PLAINS, NY

Past

July 7, 2006 - July 18, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WHITE PLAINS, NY

Past

January 5, 2006 - July 11, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DANBURY, CT

Past

October 19, 2005 - December 1, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

DANBURY, CT

Past

June 3, 1994 - July 11, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

DANBURY, CT

Past

January 10, 1992 - June 6, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 6, 1988 - January 14, 1992

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

February 15, 1985 - August 26, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 21, 1983 - February 4, 1985

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(9/20/2019)

IAR

Connecticut
(6/29/2023)

Florida
(9/23/2019)

Georgia
(9/20/2019)

Maine
(9/20/2019)

Nevada
(9/20/2019)

New Jersey
(9/20/2019)

New York
(9/20/2019)

Pennsylvania
(9/20/2019)

South Carolina
(8/31/2022)

Virgin Islands
(1/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/2/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/29/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/5/1995

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 11/22/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert E. Berg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Eugene Berg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

ROBERT THOMAS SECURITIES, INC

LEHMAN BROTHERS INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2006

Series 65

Date: 7/29/1993

Series 63

Date: 1/14/1984

SIE

Date: 10/1/2018

Series 3

Date: 10/5/1995

Series 7

Date: 12/17/1983

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 11/22/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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