Neil D. Berlant
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.
Neil David Berlant was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1971. Neil had worked at 13 firms and has passed the Series 63, SIE, Series 7 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
November 25, 2013 - June 4, 2020
D.A. DAVIDSON & CO.
November 25, 2013 - June 4, 2020
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
January 13, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
December 6, 2006 - November 4, 2013
CROWELL, WEEDON & CO.
October 8, 2002 - December 7, 2006
THE SEIDLER COMPANIES INCORPORATED
July 9, 2001 - October 31, 2002
WELLS FARGO INVESTMENTS, LLC
February 22, 1999 - August 2, 2001
WELLS FARGO SECURITIES, LLC
September 23, 1991 - March 4, 1999
UBS FINANCIAL SERVICES INC.
March 26, 1991 - July 24, 1991
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
October 2, 1986 - April 5, 1988
LOS ANGELES SECURITIES
August 19, 1985 - October 8, 1986
CANTOR FITZGERALD & CO.
January 23, 1981 - September 12, 1985
THE SEIDLER COMPANIES INCORPORATED
April 11, 1977 - February 23, 1981
CROWELL, WEEDON & CO.
May 19, 1972 - July 1, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED
July 12, 1971 - September 25, 1971
BRANDT ZWICK & CO INC
April 21, 1971 - July 28, 1971
WEIS SECURITIES, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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 1
Date: 4/15/1971
Registered Representative ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 92,146 |
| AUM (Assets Under Management) | $ 41,839,245,699 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 |
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.
