David Ber
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.
David Ber was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 12 firms and has passed the Series 63, Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2004 - September 14, 2007
HUDSON SECURITIES,INC.
December 16, 2003 - February 3, 2004
GLOBAL PARTNERS SECURITIES INC.
August 30, 1995 - October 17, 2003
HUDSON SECURITIES,INC.
April 2, 1986 - June 28, 1995
UBS CAPITAL MARKETS L.P.
May 23, 1985 - January 24, 1986
ALLISON SECURITIES CORPORATION
February 10, 1984 - May 14, 1985
R.B. MARICH, INC.
June 10, 1983 - July 1, 1983
B. J. LEONARD AND COMPANY, INC.
November 23, 1982 - June 10, 1983
FIRST FINANCIAL SECURITIES, INC.
September 26, 1980 - October 29, 1981
CROWN FINANCIAL GROUP, INC.
August 31, 1979 - February 24, 1980
M. S. WIEN & CO., INC.
March 30, 1977 - June 29, 1979
B. J. LEONARD AND COMPANY, INC.
February 24, 1975 - January 21, 1977
M. S. WIEN & CO., INC.
October 31, 1972 - October 11, 1974
JSC SECURITIES, INC.
July 30, 1969 - February 1, 1973
BRUKENFELD, MITCHELL & CO.
May 7, 1968 - January 1, 1973
NEW YORK HANSEATICK CORP
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: 6/24/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 11/5/1967
Registered Representative ExaminationCurrent Firm
HUDSON SECURITIES,INC.
CRD#: 10467 / SEC#: , 8-30639
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RODMAN RENSHAW CAPITAL GROUP, INC. | HOLDING COMPANY | |
| HECHLER, RANDY JAY | CCO, DIRECTOR OF COMPLIANCE | 2292597 |
Disclosures
| Regulatory Event | 26 |
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.
