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JB

Jay S. Berkman

Some features on this profile are disabled
CRD#: 2308190
JB

Professional summary

Jay Stuart Berkman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jay is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Jay had worked at 5 firms, which includes INTL FCSTONE CREDIT TRADING LLC, DOMINARI SECURITIES LLC, GOLDMAN SACHS EXECUTION & CLEARING L.P., BONDNET BROKERAGE INCORPORATED, GKN SECURITIES CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay S Berkman | Jay Berkman

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

July 26, 2000 - November 6, 2002

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

February 24, 1999 - July 20, 1999

DOMINARI SECURITIES LLC

BD
CRD#: 18975
NEW YORK, NY
Past

June 21, 1995 - April 1, 1998

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

August 9, 1994 - August 28, 1997

BONDNET BROKERAGE, INCORPORATED

BD
CRD#: 35905
GREENWICH, CT
Past

January 20, 1993 - October 29, 1993

GKN SECURITIES CORP.

BD
CRD#: 19415
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
RR
Series 63
Date: 2/8/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/18/2000
Registered Options Principal Examination

Current Firm

IF
INTL FCSTONE CREDIT TRADING LLC
GMP SECURITIES | MILLER TABAK ROBERTS SECURITIES, LLC | MILLER ANDREW ROBERTS, LLC | MILLER ANDREW ROBERTS & CO. INC. | INTL FCSTONE CREDIT TRADING LLC | GMP SECURITIES, LLC

CRD#: 41025 / SEC#: , 8-49291

BD
Terminated by SEC on 07/09/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
INTL FCSTONE FINANCIAL INC.100% SHAREHOLDER45993
BOLTE, DAVID ALBERTSECRETARY2711410
LYON, CHARLES MARTINDIRECTOR, PRESIDENT, CEO4000852
O'CONNOR, SEAN MICHAELDIRECTOR2534352
PAVERMAN, MARK ELLIOTCHIEF COMPLIANCE OFFICER1046105
PORZIO, JOSEPH JOHNCHIEF FINANCIAL OFFICER1319702

Disclosures

Regulatory Event5
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

INTL FCSTONE CREDIT TRADING LLC

CRD#: 41025

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