Erich M. Von Bereghy
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.
Erich M Von Bereghy, who also goes by Erich Matthew Von Bereghy, Erich Matthew Vonbereghy, was a registered financial professional .
Erich is a previously registered financial professional and started their career in finance in 1991. Erich had worked at 10 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2022 - June 29, 2023
RAYMOND JAMES & ASSOCIATES, INC.
July 7, 2017 - July 21, 2017
EQUITABLE DISTRIBUTORS, LLC
October 4, 2013 - November 17, 2016
VALIC FINANCIAL ADVISORS, INC.
October 4, 2013 - November 17, 2016
VALIC FINANCIAL ADVISORS, INC.
September 24, 2009 - August 17, 2012
GWN SECURITIES INC.
September 21, 2009 - August 17, 2012
GWN SECURITIES INC.
July 17, 2009 - September 22, 2009
PLANMEMBER SECURITIES CORPORATION
February 25, 2005 - September 22, 2009
PLANMEMBER SECURITIES CORPORATION
March 15, 2004 - February 7, 2005
GWN SECURITIES INC.
November 12, 2003 - November 1, 2004
MONEY CONCEPTS CAPITAL CORP
March 21, 2000 - September 23, 2003
SENTINEL FINANCIAL SERVICES COMPANY
July 23, 1999 - September 24, 2003
EQUITY SERVICES, INC.
August 14, 1997 - February 11, 1999
SIGNATOR FINANCIAL SERVICES, INC.
January 16, 1991 - August 13, 1997
METLIFE INVESTORS DISTRIBUTION COMPANY
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
