Henry S. 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.
Henry Samuel Berman, who also goes by Hank Berman, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1968. Henry had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 1, Series 26 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2005 - December 20, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 7, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 7, 2004 - December 20, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 25, 2002 - December 31, 2003
WRP INVESTMENTS, INC.
January 18, 2002 - December 31, 2003
WRP INVESTMENTS, INC.
May 12, 1998 - January 7, 2002
ONB INVESTMENT SERVICES, INC.
March 11, 1993 - May 18, 1998
SENTINEL FINANCIAL SERVICES COMPANY
March 25, 1982 - March 26, 1993
PROVIDENTMUTUAL FINANCIAL SERVICES, INC.
January 25, 1968 - September 13, 1977
MARK SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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: 6/25/1959
Registered Representative ExaminationSeries 00
Date: 1/11/1968
General Securities Principal ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
