Richard J. Berg
Professional summary
Richard John Berg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Richard had worked at 4 firms, which includes WINCHESTER INVESTMENT SECURITIES INC., FAIRCHILD FINANCIAL GROUP INC., L.C. WEGARD & CO. INC., HIBBARD BROWN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 1996 - August 20, 1997
WINCHESTER INVESTMENT SECURITIES, INC.
November 14, 1995 - May 28, 1996
FAIRCHILD FINANCIAL GROUP, INC.
October 31, 1991 - November 13, 1995
L.C. WEGARD & CO., INC.
July 19, 1988 - November 1, 1991
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
WINCHESTER INVESTMENT SECURITIES, INC.
CRD#: 28543 / SEC#: , 8-43971
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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