Thomas G. 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.
Thomas George Berlin was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 7 firms and has passed the Series 63, 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
October 1, 2010 - September 11, 2013
BERLIN FINANCIAL, LTD.
March 24, 2005 - October 8, 2005
FINANCIAL AMERICA SECURITIES, INC.
October 18, 1999 - March 27, 2009
BERLIN FINANCIAL, LTD.
March 10, 1998 - June 18, 2003
RAMAT SECURITIES LTD.
February 20, 1987 - August 8, 1997
KEYBANC CAPITAL MARKETS INC.
May 8, 1978 - May 28, 1986
FINANCIAL AMERICA SECURITIES, INC.
July 30, 1973 - July 14, 1978
WILL S. HALLE & COMPANY
November 5, 1971 - August 20, 1973
KLEE & COMPANY, INC.
December 6, 1967 - January 13, 1972
DISBRO & CO INC
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: 11/21/1963
Registered Representative ExaminationSeries 40
Date: 11/20/1967
Registered Principal ExaminationCurrent Firm
BERLIN FINANCIAL, LTD.
CRD#: 108884 / SEC#: 801-55607
Contact information
Red Flags
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