Jeffrey A. Berg
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.
Jeffrey Alan Berg, who also goes by Jeffrey Berg, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1993. Jeffrey had worked at 5 firms and has passed the Series 63, Series 56, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2012 - April 2, 2013
AGILE PT GROUP LLC
September 19, 2002 - March 30, 2007
KELLOGG CAPITAL GROUP LLC
January 24, 2000 - August 6, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
January 16, 1997 - January 3, 2000
HENDERSON BROTHERS, INC.
September 30, 1993 - December 20, 1996
LADENBURG THALMANN & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 9/20/2012
Proprietary Trader Qualification ExaminationSeries 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
AGILE PT GROUP LLC
CRD#: 155177 / SEC#: , 8-68702
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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