Phillip A. Berthel
Professional summary
Phillip Andrew Berthel is a registered financial professional currently at GLOBAL ATLANTIC DISTRIBUTORS, LLC located in Davie, Florida.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 1991. Phillip has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Andrew Berthel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2013 - Present
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 3, 2012 - January 18, 2013
SIGNATOR INVESTORS, INC.
March 2, 2012 - January 18, 2013
SIGNATOR INVESTORS, INC.
June 6, 2011 - March 8, 2012
EQUITABLE DISTRIBUTORS, LLC
June 1, 2009 - May 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 17, 2004 - May 15, 2009
JOHN HANCOCK DISTRIBUTORS LLC
July 13, 2000 - September 6, 2000
ING FUNDS DISTRIBUTOR, INC.
July 12, 2000 - January 22, 2003
DIRECTED SERVICES LLC
October 8, 1994 - July 18, 2000
LOCUST STREET SECURITIES, INC.
May 28, 1991 - September 23, 1994
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2013)
(4/17/2013)
(3/1/2018)
(4/17/2013)
(4/26/2013)
Exams
FINRA
Current Firm
GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| NELSON, PAULA GENEVIEVE | MANAGER, HEAD OF DISTRIBUTION | 2015528 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| TODD, ERIC DAVID | MANAGER | 2175308 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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