Scott A. Berta
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.
Scott Alan Berta was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1991. Scott had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2004 - February 24, 2020
ARCHIPELAGO TRADING SERVICES, INC.
August 7, 2002 - February 24, 2020
ARCHIPELAGO SECURITIES L.L.C.
December 17, 2001 - August 7, 2002
WAVE SECURITIES, LLC
November 8, 2001 - November 30, 2001
MELVIN SPECIALISTS, L.L.C.
September 4, 2001 - October 8, 2001
MELVIN SECURITIES, L.L.C.
February 6, 2001 - September 15, 2001
THE THIRD MARKET CORP.
March 16, 1999 - February 9, 2001
MELVIN SECURITIES, L.L.C.
August 3, 1998 - September 22, 1998
STEPHENS
November 17, 1997 - August 11, 1998
MELVIN SECURITIES, L.L.C.
October 12, 1994 - November 13, 1997
TRADETECH SECURITIES L.P.
November 10, 1993 - October 31, 1994
REPUBLIC SECURITIES, INC.
October 19, 1993 - October 28, 1993
CHATFIELD DEAN & CO., INC.
January 13, 1993 - July 6, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 12, 1993 - June 23, 1993
ROBERT W. BAIRD & CO. INCORPORATED
August 26, 1991 - October 23, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 26, 1991 - October 23, 1992
PRUCO SECURITIES, LLC.
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 55
Date: 7/8/1999
Limited Representative-Equity Trader ExamCurrent Firm
ARCHIPELAGO TRADING SERVICES, INC.
CRD#: 15853 / SEC#: , 8-33180
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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