Carol J. Berberich
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.
Carol Joan Berberich, who also goes by Carol J Berberich, Carol Joan Graff, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1989. Carol had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 24, Series 4, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2013 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
October 8, 2013 - October 10, 2014
FIS BROKERAGE & SECURITIES SERVICES LLC
November 5, 2008 - October 4, 2013
NORTHERN TRUST SECURITIES, INC.
January 31, 2007 - September 17, 2008
OGILVIE SECURITY ADVISORS CORPORATION
June 1, 2005 - January 30, 2007
JACKSON SECURITIES LLC
August 24, 1994 - June 19, 1996
PIERCE & COMPANY L.P.
February 14, 1994 - September 5, 1995
AESOP BROKERAGE SERVICES, INC.
March 15, 1993 - July 16, 1993
FITZGERALD, DAVIS & ASSOCIATES, L.P.
October 3, 1989 - January 30, 2007
BEREAN CAPITAL INCORPORATED
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
Current Firm
SUNGARD INSTITUTIONAL BROKERAGE INC.
CRD#: 8509 / SEC#: , 8-25844
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUNGARD INVESTMENT VENTURES LLC. | SHAREHOLDER | |
| CARVER, JASON MATTHEW | CHIEF FINANCIAL OFFICER | 4681802 |
| DONNELLAN, ANDREW B JR. | DIRECTOR | 4903697 |
| MAYO, STEPHANIE ANN | SENIOR MANAGING DIRECTOR, BUSINESS OPERATIONS/DIRECTOR | 5048684 |
| MEADE, CHRISTOPHER HILARY | SR. MANAGING DIRECTOR COMPLIANCE & OPERATIONS/ CHIEF COMPLIANCE OFFICER | 2629159 |
| SANTELLA, ROBERT ANTHONY | CEO/ PRESIDENT/ DIRECTOR | 2385977 |
| VALLOW, RONALD ELLIS JR. | CONTROLLER/FINOP | 4948582 |
Disclosures
| Regulatory Event | 3 |
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.
