Douglas N. Berkey
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.
Douglas Neil Berkey was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 3 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1995 - October 1, 1996
UNITED SECURITIES ALLIANCE, INC.
August 12, 1993 - March 31, 1995
SENTRA SECURITIES CORPORATION
May 3, 1984 - August 17, 1993
PFS INVESTMENTS INC.
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
UNITED SECURITIES ALLIANCE, INC.
CRD#: 36487 / SEC#: , 8-47282
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| US ALLIANCE HOLDINGS, INC. | OWNER | |
| BLOOMINGKEMPER, RONALD KEITH | CHAIRMAN OF BOARD | 1087036 |
| CANNELLA, JEFFREY JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP | 2236889 |
| DAVIS, DANA LORAINE | INSURANCE PRINCIPAL, IA/CCO | 1715382 |
| JONES, MICHAEL WASHINGTON | EXECUTIVE VICE PRESIDENT / DIRECTOR | 3248874 |
| PETRINOVICH, RONALD JAMES | DIRECTOR | 1099207 |
| SUTHERLAND, PATRICK EMANUEL | DIRECTOR/FINOP | 3042322 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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