Alysia A. Berberian
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.
Alysia Agapi Berberian, who also goes by Alysia A Berberian, Lisa A Berberian, was a registered financial advisor .
Alysia is a previously registered financial advisor and started their career in finance in 1987. Alysia had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2013 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 5, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
October 12, 2009 - September 1, 2011
COMMERCE WEALTH ADVISERS, LLC
September 16, 2009 - September 1, 2011
DEWAAY FINANCIAL NETWORK, LLC
November 6, 2006 - August 21, 2009
WORKMAN SECURITIES CORPORATION
May 18, 2005 - October 2, 2006
WORKMAN SECURITIES CORPORATION
May 11, 2005 - August 21, 2009
WORKMAN SECURITIES CORPORATION
May 25, 2004 - May 11, 2005
VALIC FINANCIAL ADVISORS, INC.
January 29, 2004 - May 11, 2005
VALIC FINANCIAL ADVISORS, INC.
December 13, 2002 - August 25, 2003
R.M. STARK & CO., INC.
October 11, 2000 - December 21, 2000
COHEN & COMPANY SECURITIES, LLC
September 30, 1997 - February 29, 2000
NORTH COAST SECURITIES CORPORATION
August 30, 1995 - November 1, 1996
R.M. STARK & CO., INC.
February 28, 1989 - June 6, 1990
JW GENESIS CLEARING CORP.
July 14, 1987 - January 19, 1989
PROFILE INVESTMENTS CORPORATION
June 8, 1987 - July 18, 1987
THE DAVID-MAXWELL COMPANY, INC.
May 27, 1987 - June 15, 1987
J. W. GANT & ASSOCIATES, 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
