Richard H. Berman
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.
Richard Harris Berman was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 7 firms and has passed the Series 66, Series 63, Series 57TO, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2021 - May 13, 2024
SAGETRADER, LLC
September 22, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
August 19, 1994 - September 25, 1998
PRIME CHARTER LTD.
April 4, 1994 - October 14, 1994
D. BLECH & COMPANY, INCORPORATED
July 21, 1993 - March 10, 1994
LADENBURG THALMANN & CO. INC.
January 14, 1993 - June 4, 1993
ROBERT W. BAIRD & CO. INCORPORATED
January 14, 1993 - June 4, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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 57TO
Date: 10/5/2023
Securities Trader ExamSeries 7TO
Date: 5/1/2021
General Securities Representative ExaminationCurrent Firm
SAGETRADER, LLC
CRD#: 137862 / SEC#: , 8-67169
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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