Malcolm E. 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.
Malcolm Ethan Berman was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1970. Malcolm had worked at 12 firms and has passed the Series 63, 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
October 3, 2013 - January 14, 2015
JANNEY MONTGOMERY SCOTT LLC
October 3, 2013 - January 14, 2015
JANNEY MONTGOMERY SCOTT LLC
March 8, 2006 - October 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2006 - October 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2005 - March 8, 2006
ADVEST, INC.
February 25, 2005 - March 8, 2006
ADVEST, INC.
July 1, 2003 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
February 24, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 11, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1988 - February 23, 2000
LEGG MASON WOOD WALKER, INCORPORATED
February 23, 1979 - February 27, 1988
MOSELEY SECURITIES CORPORATION
April 28, 1976 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
April 26, 1974 - April 28, 1976
MOSELEY, HALLGARTEN & ESTABROOK INC.
August 10, 1973 - April 26, 1974
F. S. MOSELEY, ESTABROOK INC.
October 26, 1972 - August 10, 1973
ESTABROOK & CO., INC.
September 18, 1970 - November 19, 1972
HAVENFIELD CORPORATION
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/19/1969
Registered Representative ExaminationCurrent Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
