David J. Berliner
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.
David Joshua Berliner, who also goes by D. Josh Berliner, David Josh Berliner, Josh Berliner, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 11 firms and has passed the Series 63, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2010 - February 14, 2011
VISION BROKERAGE SERVICES, LLC
September 16, 2009 - February 23, 2010
TERRANOVA CAPITAL EQUITIES, INC
February 19, 2008 - September 21, 2009
SAXONY SECURITIES, INC.
October 4, 2007 - February 19, 2008
PACIFIC WEST SECURITIES, INC.
October 29, 2004 - October 4, 2007
GILFORD SECURITIES INCORPORATED
December 1, 2001 - December 31, 2003
SOURCE CAPITAL GROUP, INC.
May 15, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
August 26, 1999 - May 15, 2001
PRIME CHARTER LTD.
September 4, 1996 - August 26, 1999
BISHOP, ROSEN & CO., INC.
November 15, 1995 - September 19, 1996
GLOBAL CAPITAL MARKETS, LLC
May 26, 1995 - November 15, 1995
STUART, COLEMAN & CO., INC.
September 30, 1993 - June 28, 1995
PRIME CHARTER LTD.
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
Current Firm
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
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.
