Keith E. Berenger
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.
Keith Edward Berenger was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1993. Keith had worked at 7 firms and has passed the Series 63, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2006 - November 27, 2007
HARMONY EXECUTIONS INC.
August 31, 2006 - November 27, 2006
FREY, RICHARD CHRISTOPHER
May 26, 2000 - June 2, 2005
PRIME EXECUTIONS, INC.
February 9, 2000 - February 18, 2000
TIJA MANAGEMENT, INC.
July 14, 1997 - October 29, 1998
W.J. NOLAN & COMPANY, INC.
February 8, 1997 - April 21, 1997
ALDEN CAPITAL MARKETS, INC.
July 13, 1993 - December 20, 1996
STRATTON OAKMONT INC.
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 25
Date: 11/9/1999
NYSE Trading Assistant ExaminationCurrent Firm
HARMONY EXECUTIONS INC.
CRD#: 141519 / SEC#: , 8-67393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OLIVA, ALFRED JOHN SR | CEO/PRES/SECY/TREAS/DIR/CCO/CFO/COO | 1158473 |
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.
