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JB

Jay W. Berman

Some features on this profile are disabled
CRD#: 2252732
JB

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.

Jay Winston Berman was a registered financial professional .

Jay is a previously registered financial professional and started their career in finance in 1992. Jay had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 31, 2020 - February 1, 2021

VIEWTRADE SECURITIES, INC.

BD
CRD#: 46987
Sarasota, FL
Past

March 24, 2017 - May 7, 2018

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
SARASOTA, FL
Past

March 1, 2017 - May 7, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
SARASOTA, FL
Past

July 28, 2015 - November 4, 2016

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
Sarasota, FL
Past

July 27, 2015 - November 4, 2016

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
Sarasota, FL
Past

January 13, 2015 - June 17, 2015

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
LARGO, FL
Past

January 9, 2015 - June 17, 2015

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
LARGO, FL
Past

May 28, 2014 - January 15, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
SARASOTA, FL
Past

March 6, 2014 - January 15, 2015

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SARASOTA, FL
Past

March 2, 2007 - March 6, 2014

SII INVESTMENTS, INC.

RIA
CRD#: 2225
SARASOTA, FL
Past

March 1, 2007 - March 6, 2014

SII INVESTMENTS, INC.

BD
CRD#: 2225
SARASOTA, FL
Past

September 5, 1996 - March 27, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SARASOTA, FL
Past

September 5, 1996 - March 27, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SARASOTA, FL
Past

August 11, 1992 - September 13, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/8/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/5/1998
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/1992
General Securities Representative Examination

Current Firm

VS
VIEWTRADE SECURITIES, INC.
VIEWTRADE SECURITIES LLC | VIEWTRADE SECURITIES, INC.

CRD#: 46987 / SEC#: , 8-51605

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433
Mailing Address
7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433
Phone number
(561) 620-0306
Established
Delaware since 03/17/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VIEWTRADE HOLDING CORPORATIONSHAREHOLDER
DEIHL, MEGAN KOCZAKCHIEF FINANCIAL OFFICER2895988
FORD, MARK ALANCHIEF COMPLIANCE OFFICER1913958
PINHEIRO, DESIREE LEECHIEF OPERATIONS OFFICER4444808
ROSEN, STEVEN ALLENSROP1428637
STCLAIR, JAMES JOSEPH JRPRESIDENT1550599

Disclosures

Regulatory Event18
Arbitration1

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.

Company Information

VIEWTRADE SECURITIES, INC.

CRD#: 46987

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