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Stephen J. Berry

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CRD#: 1232555
SB

Professional summary

Stephen Joseph Berry was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Stephen had worked at 8 firms, which includes FIRST MONTAUK SECURITIES CORP., JANNEY MONTGOMERY SCOTT LLC, LEGG MASON WOOD WALKER INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., DREXEL BURNHAM LAMBERT INCORPORATED, PHILIPS APPEL & WALDEN INC., FIRST JERSEY SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen J Berry

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 16, 2005 - August 17, 2007

FIRST MONTAUK SECURITIES CORP.

RIA
CRD#: 13755
SCOTCH PLAINS, NJ
Past

September 16, 2005 - August 17, 2007

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
SCOTCH PLAINS, NJ
Past

August 23, 2005 - October 12, 2005

JANNEY MONTGOMERY SCOTT LLC

RIA
CRD#: 463
EDISON, NJ
Past

April 20, 2001 - October 12, 2005

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

March 12, 1996 - May 9, 2001

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 17, 1992 - March 21, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 6, 1988 - January 9, 1992

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

July 21, 1987 - September 6, 1988

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

August 1, 1985 - August 28, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

May 24, 1984 - August 20, 1985

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

January 25, 1984 - April 23, 1984

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/11/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/9/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1984
General Securities Representative Examination

Current Firm

FM
FIRST MONTAUK SECURITIES CORP.
ADVANCED INVESTMENT | WEALTH MANAGEMENT DESIGN | WASHINGTON ASSET MANAGEMENT | VENTURE WEALTH MANAGEMENT | VC MANAGEMENT | UNION ADVANTAGE FINANCIAL | THE LARAWAY FINANCIAL GROUP | THE CARDINAL HILL GROUP | SHARMA CAPITAL | SCHREIBER INVESTMENT COMPANY | ROME CAPITAL MANAGEMENT | QUIGLEY TAX ADVISORY GROUP | PHG ASSET MANAGEMENT & DEVELOPMENT | PERSONAL INVESTMENT CENTERS | MONTAUK FINANCIAL GROUP | MOFIELD & ASSOC. | MILLER AND CHRISTIAN ASSET MANAGEMENT | MFG/BOGGS,BUSTAMANTE,BELMONTE FINANCIAL GROUP | MCM CONSULTING & MANAGEMENT SERFICES | LYL INVESTMENTS | KAROON CAPITAL MANAGEMENT | INVESTMENT ASSET MANAGEMENT | HUNT ASSET MANAGEMENT | HORIZON WEALTH SOLUTIONS | HAMPTON CAPITAL MANAGEMENT | GROTJAHN CAPITAL MANAGEMENT | FORTRESS WEALTH MANAGEMENT | FIRST MONTAUK SECURITIES CORP. | EVYAVAN ADVISORY SERVICES | CENTURY DISCOUNT INVESTMENTS | CAPITAL ESTATE ADVISORS | C & B FINANCIAL SVCS. | BUSINESS AND FINANCIAL SERVICES | BURTON CAPITAL STRATEGIES GROUP | BURNS ASSET MANAGEMENT | BONIELLO CAPITAL MANAGEMENT | BERRY ASSET MANAGEMENT | BELLI MONACO | BAUGHMAN FINANCIAL GROUP | BARRETT HAYNES FINANCIAL GROUP | BARREIRO AND ASSOCIATES | B & G CAPITAL MANAGEMENT | ASSET MANAGEMENT CONSULTANT | AMERICAN CAPITAL MANAGEMENT

CRD#: 13755 / SEC#: , 8-29748

BD
Terminated by SEC on 02/21/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/11/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST MONTAUK FINANCIAL CORP.CORPORATE PARENT AND SOLE STOCKHOLDER
HOROWITZ, MINDY ANNCHIEF FINANCIAL OFFICER/FINOP3036744
KURYLAK, VICTOR KEVINPRESIDENT, CHIEF EXECUTIVE OFFICER1664534
LEONARD, CELESTE MARIECHIEF COMPLIANCE OFFICER1258535

Disclosures

Regulatory Event25
Arbitration28
Bond5

Red Flags

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Company Information

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

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