Carol Joan Berberich
Professional Summary
Carol Joan Berberich, who also goes by Carol J Berberich, Carol Joan Graff, was a registered financial advisor. Carol was a previously registered financial professional and started their career in finance 1989 - 2013. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol J Berberich, Carol Joan Graff
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
37 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
SHAW DATA SECURITIES | SUNGARD.NET | SUNGARD INSTITUTIONAL BROKERAGE INC. | SUNGARD GLOBAL NETWORK | SHAW DATA SECURITIES, INC.
Contact Information
Established
New York since 12/28/1988Firm Type
CorporationFiscal Year End
DecemberDocuments
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
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2005About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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