Michael P. Berczuk
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.
Michael Peter Berczuk was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 5 firms and has passed the Series 63, SIE, Series 5, Series 3, 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
September 14, 2015 - December 23, 2020
NATWEST MARKETS SECURITIES INC.
May 1, 2007 - July 22, 2015
UBS SECURITIES LLC
July 21, 2004 - February 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1993 - February 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 1987 - April 12, 1993
CREDIT SUISSE SECURITIES (USA) LLC
April 23, 1985 - July 31, 1986
LEHMAN BROTHERS 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
Series 5
Date: 10/16/1987
Interest Rate Options ExaminationCurrent Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
Red Flags
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