Howard W. Bersch
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.
Howard William Bersch, who also goes by Howard W Bersch, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1971. Howard had worked at 10 firms and has passed the SIE 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
September 13, 1999 - March 17, 2020
CADARET, GRANT & CO., INC.
October 1, 1997 - September 14, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
August 13, 1996 - October 1, 1997
USLIFE EQUITY SALES CORP.
November 18, 1988 - December 20, 1994
D. WECKSTEIN & CO., INC.
April 21, 1987 - January 9, 1989
R.C. STAMM & CO., INC.
February 23, 1983 - February 10, 1987
M.S. ETHEREDGE & CO., INC.
March 5, 1981 - February 23, 1983
NATHAN & LEWIS SECURITIES, INC.
September 28, 1976 - January 19, 1978
INDUSTRY SAVINGS PLANS, INC.
March 7, 1972 - May 8, 1980
MANHATTAN SECURITIES CORP.
April 1, 1971 - October 22, 1976
USLIFE EQUITY SALES CORP
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: 3/4/1961
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
