Barry J. Berman
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.
Barry Joseph Berman was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1969. Barry had worked at 8 firms and has passed the Series 63, Series 1, Series 39 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1980 - April 1, 1992
CORNWALL SECURITIES, INC.
July 31, 1979 - July 17, 1980
L. F. ROTHSCHILD & CO. INCORPORATED
February 24, 1978 - October 20, 1979
MORGAN STANLEY DW INC.
March 3, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
July 13, 1973 - March 17, 1977
SCHRODER & CO. INC.
February 8, 1973 - August 20, 1973
LEHMAN BROTHERS INCORPORATED
February 8, 1972 - February 6, 1973
CIBC WORLD MARKETS CORP.
October 22, 1969 - March 14, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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: 10/21/1969
Registered Representative ExaminationCurrent Firm
CORNWALL SECURITIES, INC.
CRD#: 8334 / SEC#: , 8-24752
Contact information
Documents
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.
