Jory Berkwits
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.
Jory Berkwits, who also goes by Jory E Berkwits, Jory Ethan Berkwits, Jory Berkwits, was a registered financial professional .
Jory is a previously registered financial professional and started their career in finance in 1972. Jory had worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 15, Series 5, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2016 - December 31, 2018
BLUEFIN ADVISORS LLC
September 28, 2004 - June 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 1978 - June 8, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 15
Date: 5/29/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 8/7/1972
Registered Representative ExaminationSeries 40
Date: 2/15/1978
Registered Principal ExaminationCurrent Firm
BLUEFIN ADVISORS LLC
CRD#: 284570 / SEC#:
Contact information
Red Flags
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