Robert G. 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.
Robert Gerald Berman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 17 firms and has passed the Series 63 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
November 10, 2004 - October 21, 2005
HENNION & WALSH, INC.
November 18, 2002 - November 18, 2004
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
November 1, 2000 - November 19, 2002
FINANCIAL CONSULTANT GROUP, LLC
May 11, 1994 - September 25, 2000
J. B. HANAUER & CO.
July 10, 1992 - May 5, 1994
CETERA ADVISORS LLC
October 23, 1990 - July 20, 1992
WEALTH BUILDERS EQUITY CORPORATION
March 21, 1989 - April 9, 1990
CHURCHILL SECURITIES, INC.
January 9, 1989 - March 29, 1989
STEVEN L. FALK & ASSOCIATES INC.
July 9, 1987 - November 3, 1987
MONVEST SECURITIES, INC.
October 29, 1986 - July 17, 1987
SEVILLE SECURITIES LTD.
October 17, 1983 - June 23, 1986
CHURCHILL INVESTMENT CORPORATION
November 12, 1981 - June 11, 1985
CARDELL & ASSOCIATES, INCORPORATED
November 22, 1977 - February 13, 1980
LEHMAN BROTHERS INC.
July 8, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 3, 1975 - July 9, 1977
GRUNTAL & CO., L.L.C.
May 7, 1971 - July 15, 1976
C. B. RICHARD, ELLIS & CO.
June 4, 1970 - April 1, 1971
BULTER ASNES & CO
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: 11/6/1964
Registered Representative ExaminationCurrent Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
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.
