Barry J. 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.
Barry Julius Berman, who also goes by Barry Stuart, was a registered financial advisor .
Barry is a previously registered financial advisor and started their career in finance in 1987. Barry had worked at 8 firms and has passed the Series 63 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
July 1, 2002 - September 9, 2003
PLANMEMBER SECURITIES CORPORATION
March 19, 2002 - September 9, 2003
PLANMEMBER SECURITIES CORPORATION
November 11, 1999 - December 31, 2001
VOYA FINANCIAL ADVISORS, INC.
May 9, 1994 - May 14, 1997
OSAIC WEALTH, INC.
March 31, 1992 - May 9, 1994
TRIPLE CHECK FINANCIAL SERVICES, INC.
May 22, 1989 - May 8, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 7, 1988 - June 6, 1989
G. R. PHELPS & CO., INC.
June 4, 1987 - February 16, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 4, 1987 - February 17, 1988
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
