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JB

Jonathan M. Berg

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CRD#: 1498812
JB

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.

Jonathan Michael Berg was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1987. Jonathan had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 12, 2004 - September 27, 2005

MT RUSHMORE SECURITIES LLC

BD
CRD#: 130955
FAIRFIELD, IA
Past

May 26, 1998 - December 3, 2012

NIGHTHAWK PARTNERS INC.

BD
CRD#: 44134
ENGLEWOOD CLIFFS, NJ
Past

May 1, 1987 - March 6, 1990

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/1998
General Securities Principal Examination

Current Firm

MR
MT RUSHMORE SECURITIES LLC
MT RUSHMORE SECURITIES LLC

CRD#: 130955 / SEC#: , 8-66412

BD
Terminated by SEC on 02/19/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/02/2003
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MORNING HAWK LLCSHAREHOLDER
THE MT. RUSHMORE INVESTMENT CORPORATIONSHAREHOLDER
HELLER, JEFFREY PHILIPFINOP3139370
SPITZ, GARY MITCHELLPRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER1828144

Disclosures

Regulatory Event1

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.

Company Information

MT RUSHMORE SECURITIES LLC

CRD#: 130955

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