Malcolm J. Berko

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CRD#: 19483

Professional summary

Malcolm Jay Berko was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Malcolm is a previously registered financial advisor and started their career in finance in 1964. Prior to being barred, Malcolm had worked at 13 firms, which includes MOORS & CABOT INC., MOORS & CABOT INC, ADVEST INC., RAYMOND JAMES & ASSOCIATES INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., HORNBLOWER WEEKS NOYES & TRASK INCORPORATED, HORNBLOWER & WEEKS - HEMPHILL NOYES INCORPORATED, E. F. HUTTON & COMPANY INC, HAYDEN STONE INC., DUPONT WLASTON INC, REYNOLDS SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Malcolm James Berko

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 25, 2007 - July 9, 2007

MOORS & CABOT, INC.

RIA

CRD#: 594

BOSTON, MA

Past

January 4, 2006 - June 25, 2007

MOORS & CABOT INC

RIA

CRD#: 110869

BOCA RATON, FL

Past

November 25, 2005 - January 26, 2007

MOORS & CABOT, INC.

CRD#: 594

BOCA RATON, FL

Past

March 27, 2003 - December 13, 2005

ADVEST, INC.

RIA

CRD#: 10

BOCA RATON, FL

Past

February 19, 1991 - December 13, 2005

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

December 6, 1989 - February 26, 1991

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

August 25, 1989 - December 11, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 26, 1977 - August 25, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

May 5, 1977 - November 2, 1977

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

May 16, 1975 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

February 6, 1974 - June 17, 1975

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

March 16, 1973 - April 18, 1973

HAYDEN STONE INC.

CRD#: 6567

Past

March 14, 1973 - March 27, 1974

DUPONT WLASTON INC

CRD#: 1000008

Past

June 29, 1972 - March 16, 1973

HAYDEN STONE INC.

CRD#: 972

Past

January 28, 1971 - June 19, 1972

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

October 16, 1964 - February 18, 1971

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/1/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 10/13/1964

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 6/5/1971

Registered Principal Examination

Current Firm

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Federal Street 19th Floor, Boston, MA 02110

Mailing Address

One Federal Street 19th Floor, Boston, MA 02110

Phone number

(617) 426-0500

Established

Massachusetts since 07/05/1978

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

121

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOORS & CABOT ADV (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EIGHTEEN NINETY PARTNERS, LLC	SHAREHOLDER
BRAUN, MICHAEL CHARLES	EVP/COO/DIRECTOR	2005370
CUETARA, JOSEPH PHILIP	SVP FIXED INCOME/MUNICIPAL PRINCIPAL	58308
GARRETT, MARK DAVID	DIRECTOR/CO-CHAIRMAN/TRUSTEE	5563014
HILDRETH, MICHAEL CHRISTOPHER	EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR	2386839
JOYCE, DANIEL MICHAEL	DIRECTOR	1060819
KELLIHER, KATHERINE ROSE	SVP & CHIEF COMPLIANCE OFFICER	4146307

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 3,437,764,388

Disclosures

Regulatory Event	30
Arbitration	3
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/04/2023	Cover Page	Report
01/12/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Malcolm J. Berko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MOORS & CABOT INC

MOORS & CABOT, INC.

ADVEST, INC.

ADVEST, INC.

RAYMOND JAMES & ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

E. F. HUTTON & COMPANY INC

HAYDEN STONE INC.

DUPONT WLASTON INC

HAYDEN STONE INC.

REYNOLDS SECURITIES, INC.

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

MOORS & CABOT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/1992

Series 63

Date: 3/2/1984

PC

Date: 9/1/1977

Series 1

Date: 10/13/1964

Series 40

Date: 6/5/1971

Current Firm

MOORS & CABOT, INC.

Contact information

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOORS & CABOT, INC.

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