Jeffrey E. Berta
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.
Jeffrey Ernest Berta was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1995. Jeffrey had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2014 - February 7, 2017
THE LEADERS GROUP, INC.
February 23, 2012 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
February 25, 2010 - December 31, 2011
THE LEADERS GROUP, INC.
July 18, 2008 - September 23, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
May 29, 2007 - June 12, 2008
CITIGROUP GLOBAL MARKETS INC.
January 26, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
June 17, 2003 - November 1, 2006
LIBERTY LIFE DISTRIBUTORS LLC
February 7, 2002 - June 12, 2003
INVESTORS BROKERAGE SERVICES, INC.
February 14, 2001 - December 31, 2001
PMG SECURITIES CORPORATION
April 24, 1996 - January 5, 1999
VERAVEST INVESTMENTS, INC.
February 15, 1995 - October 12, 1995
SEI INVESTMENTS DISTRIBUTION CO.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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