BB
Bennett H. Berman
THE PINNACLE FINANCIAL GROUP
THE VILLAGES, FL 32163
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CRD#: 19627
BB
Professional summary
Bennett Harris Berman is a registered financial advisor currently at THE PINNACLE FINANCIAL GROUP located in The Villages, Florida and LPL FINANCIAL LLC located in The Villages, Florida.
Bennett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Bennett has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 15, PC, Series 1, Series 9, Series 10, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)03/25/2020 - PINNACLE FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 03/2020. 2) 4/27/2020 - The Pinnacle Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 2/24/2019 - 160 Hours Per Month. 3) 9/10/2021 - BHB Investment Management, LLC - Not Investment Related - At Reported Business Location(s) - BHB Investment Management, LLC - Started 08/06/2021 - 160 Hours Per Month/8 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Bennett Harris Berman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 17, 2021 - Present
THE PINNACLE FINANCIAL GROUP
Office #1: 2020 Vandemark St, The Villages, FL 32163RIA
CRD#: 164395
THE VILLAGES, FL
Current
March 26, 2020 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
THE VILLAGES, FL
Past
August 11, 2011 - April 7, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW MARLBOROUGH, MA
Past
March 25, 2011 - April 7, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW MARLBOROUGH, MA
Past
June 1, 2009 - April 11, 2011
MORGAN STANLEY
BD
CRD#: 149777
HAUPPAUGE, NY
Past
September 28, 1999 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
HAUPPAUGE, NY
Past
September 19, 1990 - September 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 18, 1983 - October 10, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 26, 1978 - August 1, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
April 13, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
Registered Investment Advisory firm - (11/9/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(5/13/2022)
RR
Florida(3/26/2020)
RR
Michigan(8/2/2025)
RR
New Jersey(3/26/2020)
RR
New York(3/26/2020)
IAR
New York(8/17/2021)
RR
Oregon(3/26/2020)
RR
Pennsylvania(3/26/2020)
RR
South Carolina(3/26/2020)
RR
Washington(3/26/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 11/14/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 4/11/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/5/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
THE PINNACLE FINANCIAL GROUP
ARGILLO FINANCIAL GROUP | THE PINNACLE FINANCIAL GROUP | PROSPECT FINANCIAL SERVICES, LLC | PINNACLE WEALTH STRATEGIES GROUP | PINNACLE FINANCIAL CONSULTANTS | PENSION AND WEALTH CONSULTANTS | NSI GROUP | NORTH STAR WEALTH INVESTORS LLC | NORTH STAR WEALTH INVESTORS | NORTH FORK WEALTH MANAGEMENT | MELANDER WEALTH MANAGEMENT | MCKENNA FINANCIAL PLANNING | MARIO MOLINO AND ASSOCIATES | FLAGSHIP WEALTH MANAGEMENT GROUP | FIA FINANCIAL | COLEMAN INVESTMENT MANAGEMENT | ATLANTIC FINANCIAL GROUP
CRD#: 164395 / SEC#: 801-77304
RIA
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Contact information
Main Address
9 South Long Beach Road, Rockville Centre, NY 11570
Mailing Address
Phone number
(516) 763-9700
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,538 |
| AUM (Assets Under Management) | $ 1,184,198,113 |
Red Flags
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Company Information
THE PINNACLE FINANCIAL GROUP
CRD#: 164395The Villages, FL 32163TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
