Mark S. Berg
Professional summary
Mark Steven Berg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Mark had worked at 6 firms, which includes JOSEPH STEVENS & CO. INC., OSCAR GRUSS & SON INCORPORATED, LCP CAPITAL CORP., R.H.DAMON & CO. INC., FIRST FIDELITY CAPITAL CORP., NEWHARD COOK & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 1999 - April 25, 2008
JOSEPH STEVENS & CO., INC.
March 23, 1998 - April 8, 1999
OSCAR GRUSS & SON INCORPORATED
February 14, 1991 - November 8, 1999
LCP CAPITAL CORP.
July 18, 1990 - February 19, 1991
R.H.DAMON & CO., INC.
October 13, 1989 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
July 21, 1987 - August 3, 1989
NEWHARD, COOK & CO. INCORPORATED
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 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
JOSEPH STEVENS & CO., INC.
CRD#: 35459 / SEC#: , 8-46901
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
Red Flags
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