RB
Robert M. Berry
ROTHSCHILD & CO US
Boston, MA 02199
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CRD#: 2159652
RB
Professional summary
Robert Michael Berry, who also goes by Bob Berry, is a registered financial professional currently at ROTHSCHILD & CO US INC. located in Boston, Massachusetts.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bob Berry
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Berry's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 9, 2021 - Present
ROTHSCHILD & CO US INC.
Office #1: 800 Boylston Street Suite 1710, Boston, MA 02199BD
CRD#: 2910
Boston, MA
Past
February 13, 2013 - June 7, 2021
TRUIST SECURITIES, INC.
BD
CRD#: 6271
BOSTON, MA
Past
May 26, 2009 - December 21, 2012
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BOSTON, MA
Past
October 3, 2002 - January 4, 2013
RAYMOND JAMES INSURANCE GROUP, INC.
BD
CRD#: 121221
ST. PETERSBURG, FL
Past
November 3, 2000 - January 7, 2002
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
December 23, 1994 - January 7, 2002
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
August 9, 1991 - January 12, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/16/2022)
RR
Alaska(5/16/2022)
RR
Arizona(5/16/2022)
RR
Arkansas(5/16/2022)
RR
California(5/16/2022)
RR
Colorado(5/16/2022)
RR
Connecticut(5/16/2022)
RR
Delaware(5/16/2022)
RR
District of Columbia(5/16/2022)
RR
Florida(5/16/2022)
RR
Georgia(5/16/2022)
RR
Hawaii(5/16/2022)
RR
Idaho(5/16/2022)
RR
Illinois(5/16/2022)
RR
Indiana(5/16/2022)
RR
Iowa(5/16/2022)
RR
Kansas(5/16/2022)
RR
Kentucky(5/16/2022)
RR
Louisiana(5/16/2022)
RR
Maine(5/16/2022)
RR
Maryland(5/16/2022)
RR
Massachusetts(5/16/2022)
RR
Michigan(5/16/2022)
RR
Minnesota(5/16/2022)
RR
Mississippi(5/16/2022)
RR
Missouri(5/16/2022)
RR
Montana(5/17/2022)
RR
Nebraska(5/16/2022)
RR
Nevada(5/16/2022)
RR
New Hampshire(5/16/2022)
RR
New Jersey(5/16/2022)
RR
New Mexico(5/16/2022)
RR
New York(5/16/2022)
RR
North Carolina(5/16/2022)
RR
North Dakota(5/16/2022)
RR
Ohio(5/17/2022)
RR
Oklahoma(5/16/2022)
RR
Oregon(5/16/2022)
RR
Pennsylvania(5/16/2022)
RR
Puerto Rico(5/16/2022)
RR
Rhode Island(5/16/2022)
RR
South Carolina(5/16/2022)
RR
South Dakota(5/16/2022)
RR
Texas(5/16/2022)
RR
Utah(5/16/2022)
RR
Vermont(5/16/2022)
RR
Virginia(5/16/2022)
RR
Washington(5/16/2022)
RR
West Virginia(5/16/2022)
RR
Wisconsin(5/16/2022)
RR
Wyoming(5/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROTHSCHILD & CO US INC.
NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.
CRD#: 2910 / SEC#: , 8-13852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1251 Avenue Of The Americas, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas, New York, NY 10020
Phone number
(212) 403-3500
Established
Delaware since 07/20/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHSCHILD & CO NORTH AMERICA INC. | DIRECT SHAREHOLDER | |
| CARROLL, JOHN MURRAY | DIRECTOR | 2605675 |
| FELDMAN, TRACY J | DIRECTOR | 2575503 |
| LONDON, FRANK STEVEN | CHIEF COMPLIANCE OFFICER | 5861920 |
| NEISSA, JAMES MANUEL | DIRECTOR | 2142240 |
| SCHACKERT, CHRISTA MARY | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER | 4219093 |
| SPELLER, MICHAEL CHARLES | CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR | 3105214 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROTHSCHILD & CO US INC.
CRD#: 2910Boston, MA 02199TRUST BUT VERIFY
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