Robert S. Berlin
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.
Robert Sanford Berlin was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1961. Robert had worked at 14 firms and has passed the Series 63, Series 7TO, SIE, PC 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
February 27, 2018 - March 10, 2023
CRAFT CAPITAL MANAGEMENT LLC
April 25, 2014 - December 8, 2017
AEGIS CAPITAL CORP.
July 1, 2003 - April 28, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 11, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 4, 1994 - June 22, 2001
UBS FINANCIAL SERVICES INC.
December 3, 1979 - April 11, 1994
J.P. MORGAN SECURITIES LLC
January 9, 1979 - December 30, 1979
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - February 11, 1979
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
August 31, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
December 15, 1975 - September 5, 1976
PHILIPS, APPEL & WALDEN, INC.
June 15, 1973 - November 14, 1975
J. H. KERN & CO.
September 15, 1972 - July 6, 1973
SUMMIT EQUITIES CORP
September 13, 1971 - August 31, 1972
ICAHN & CO., INC.
August 24, 1961 - September 23, 1971
MOORE & SCHLEY, CAMERON & CO.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 8/18/1959
Registered Representative ExaminationCurrent Firm
CRAFT CAPITAL MANAGEMENT LLC
CRD#: 171350 / SEC#: , 8-69455
Contact information
FINRA licenses (53 States and Territories)
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.
