Alan W. Berge
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.
Alan Walter Berge was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2017. Alan had worked at 2 firms and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2018 - December 31, 2024
HAYWOOD SECURITIES (USA) INC.
April 22, 2017 - September 12, 2018
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 38
Date: 4/22/2017
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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