Mitchell E. Berman
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.
Mitchell E Berman, who also goes by Mitch Berman, Mitchell Eric Berman, Mitchell Berman, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1986. Mitchell had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 2, 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
August 23, 2023 - February 11, 2025
CETERA INVESTMENT ADVISERS LLC
August 22, 2023 - February 11, 2025
CETERA INVESTMENT SERVICES LLC
May 6, 2022 - July 27, 2023
LPL FINANCIAL LLC
May 5, 2022 - July 27, 2023
LPL FINANCIAL LLC
March 4, 2015 - May 2, 2022
THE HUNTINGTON INVESTMENT COMPANY
March 4, 2015 - May 2, 2022
THE HUNTINGTON INVESTMENT COMPANY
January 11, 2012 - March 5, 2015
INDEPENDENT FINANCIAL PARTNERS
October 13, 2011 - February 20, 2015
LPL FINANCIAL LLC
August 26, 2010 - August 29, 2011
ALLSTATE FINANCIAL SERVICES, LLC
November 3, 2009 - August 25, 2010
BNY MELLON SECURITIES CORPORATION
January 11, 2007 - November 20, 2007
ADP BROKER-DEALER, INC.
August 29, 2006 - January 12, 2007
VALMARK ADVISERS, INC.
August 28, 2006 - January 12, 2007
VALMARK SECURITIES, INC.
April 12, 2005 - August 14, 2006
PRINCIPAL SECURITIES, INC.
July 23, 2004 - August 14, 2006
PRINCIPAL SECURITIES, INC.
January 23, 1998 - July 26, 2004
ADP BROKER-DEALER, INC.
December 23, 1994 - January 16, 1996
THE HUNTINGTON INVESTMENT COMPANY
January 22, 1986 - February 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 2
Date: 3/29/1996
Non-Member General Securities ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
