Martin H. Berman

Some features on this profile are disabled

CRD#: 19691

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.

Martin Harvey Berman, who also goes by Martin H Berman, was a registered financial professional .

Martin is a previously registered financial professional and started their career in finance in 1969. Martin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.

Aliases

Martin H Berman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 19, 2014 - May 18, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

MELVILLE, NY

Past

December 19, 2014 - May 18, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

MELVILLE, NY

Past

April 5, 2006 - December 24, 2014

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

MELVILLE, NY

Past

February 12, 2003 - December 24, 2014

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

MELVILLE, NY

Past

May 16, 1985 - January 10, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 28, 1985 - April 10, 1985

BEVILL, BRESLER & SCHULMAN SECURITIES INC.

CRD#: 7259

Past

August 9, 1984 - April 10, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

CRD#: 6971

Past

November 26, 1979 - August 21, 1984

LEHMAN BROTHERS INC.

CRD#: 7506

Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

CRD#: 7534

Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

CRD#: 7502

Past

October 6, 1975 - January 4, 1977

LOEB, RHOADES & CO. INC.

CRD#: 525

Past

April 2, 1969 - March 19, 1980

EDWARDS & HANLY

CRD#: 6554

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".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/23/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 12/12/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 10/17/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 11/1/1979

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/9/1963

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/7/1979

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 3/21/1969

Registered Principal Examination

Principal/Supervisory Exam

Series 12

Date: 2/20/1967

NYSE Branch Manager Examination

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	180
Civil Event	2
Arbitration	61
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Martin H. Berman

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

PRUDENTIAL EQUITY GROUP, LLC

BEVILL, BRESLER & SCHULMAN SECURITIES INC.

BEVILL, BRESLER & SCHULMAN INCORPORATED

LEHMAN BROTHERS INC.

LOEB PARTNERS

LOEB RHOADES & CO. INC.

LOEB, RHOADES & CO. INC.

EDWARDS & HANLY

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/23/1993

Series 63

Date: 10/1/1984

SIE

Date: 10/1/2018

Series 15

Date: 12/12/1983

Series 5

Date: 10/17/1981

PC

Date: 11/1/1979

Series 1

Date: 12/9/1963

Series 4

Date: 11/7/1979

Series 40

Date: 3/21/1969

Series 12

Date: 2/20/1967

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

Similar Advisors