DB
David C. Berman
MACQUARIE CAPITAL (USA)
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 1654533
DB
Professional summary
David Charles Berman, who also goes by David C Berman, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Los Angeles, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David C Berman
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.
CRS (Client Relationship Summary) - BD
Click below to view David Charles Berman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 7, 2011 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 10250 Constellation Blvd, Los Angeles, CA 90067BD
CRD#: 36368
Los Angeles, CA
Past
August 3, 2009 - August 24, 2011
REGAL CAPITAL ADVISORS, LLC
BD
CRD#: 149689
LOS ANGELES, CA
Past
August 25, 2006 - February 20, 2009
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
LOS ANGELES, CA
Past
October 27, 1993 - April 12, 2006
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
LOS ANGELES, CA
Past
September 4, 1990 - November 20, 1991
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 2, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
July 21, 1987 - June 3, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/10/2011)
RR
Alaska(6/28/2019)
RR
Arizona(6/14/2011)
RR
Arkansas(6/14/2011)
RR
California(6/7/2011)
RR
Colorado(6/8/2011)
RR
Connecticut(6/8/2011)
RR
Delaware(6/13/2011)
RR
District of Columbia(6/17/2011)
RR
Florida(6/15/2011)
RR
Georgia(6/14/2011)
RR
Hawaii(6/28/2019)
RR
Idaho(6/8/2011)
RR
Illinois(6/8/2011)
RR
Indiana(6/7/2011)
RR
Iowa(6/8/2011)
RR
Kansas(6/8/2011)
RR
Kentucky(6/8/2011)
RR
Louisiana(6/15/2011)
RR
Maine(6/9/2011)
RR
Maryland(6/14/2011)
RR
Massachusetts(6/8/2011)
RR
Michigan(6/11/2011)
RR
Minnesota(6/16/2011)
RR
Mississippi(6/14/2011)
RR
Missouri(6/8/2011)
RR
Montana(6/13/2011)
RR
Nebraska(6/15/2011)
RR
Nevada(6/7/2011)
RR
New Hampshire(6/8/2011)
RR
New Jersey(6/13/2011)
RR
New Mexico(6/13/2011)
RR
New York(6/13/2011)
RR
North Carolina(6/9/2011)
RR
North Dakota(7/1/2019)
RR
Ohio(6/10/2011)
RR
Oklahoma(6/16/2011)
RR
Oregon(6/15/2011)
RR
Pennsylvania(6/8/2011)
RR
Puerto Rico(8/30/2019)
RR
Rhode Island(6/8/2011)
RR
South Carolina(6/8/2011)
RR
South Dakota(6/13/2011)
RR
Tennessee(6/28/2019)
RR
Texas(6/16/2011)
RR
Utah(6/27/2019)
RR
Vermont(6/8/2011)
RR
Virgin Islands(8/23/2019)
RR
Virginia(6/8/2011)
RR
Washington(6/7/2011)
RR
West Virginia(6/15/2011)
RR
Wisconsin(6/30/2011)
RR
Wyoming(7/1/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
