Eugene M. Berger
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.
Eugene Mark Berger, CFP® was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1986. Eugene had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2022 - July 11, 2022
MISSIONSQUARE RETIREMENT
February 26, 2019 - July 11, 2022
MISSIONSQUARE INVESTMENT SERVICES
May 30, 2014 - January 23, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 5, 2014 - January 23, 2019
TD AMERITRADE, INC.
May 2, 2014 - January 23, 2019
TD AMERITRADE, INC.
November 1, 2012 - July 5, 2013
THE MUTUAL FUND STORE
September 17, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
June 18, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
January 28, 2008 - June 22, 2009
HSBC SECURITIES (USA) INC.
September 5, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 5, 2005 - December 19, 2007
MSI FINANCIAL SERVICES, INC.
April 23, 1986 - May 19, 1988
CITICORP FINANCIAL SERVICES,INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
