Paul C. Berard

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS

STAMFORD, CT 06901

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CRD#: 2468480

Professional summary

Paul Clifford Berard, who also goes by Paul Berard, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Stamford, Connecticut.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Paul Berard

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) - BD

Click below to view Paul Clifford Berard's CRS (Customer Relationship Summary).

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

Current

October 29, 2025 - Present

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Office #1: 400 Atlantic Street, Stamford, CT 06901

CRD#: 30107

STAMFORD, CT

Past

July 16, 2025 - September 23, 2025

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

August 8, 2023 - May 6, 2025

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

May 24, 2022 - October 28, 2022

MIT ASSOCIATES, LLC

CRD#: 121171

TIBURON, CA

Past

June 9, 2017 - September 9, 2022

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

NEWTOWN, CT

Past

May 20, 2014 - March 3, 2022

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

June 20, 2006 - May 7, 2014

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

July 6, 2005 - May 31, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 23, 2004 - June 1, 2005

INDEPENDENT RESEARCH GROUP LLC

CRD#: 124432

NEW YORK, NY

Past

February 26, 1998 - February 12, 2001

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

May 24, 1994 - February 19, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 24, 1994 - February 19, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/31/2025)

Alaska
(11/12/2025)

Arizona
(11/7/2025)

Arkansas
(11/4/2025)

California
(10/31/2025)

Colorado
(10/31/2025)

Connecticut
(10/31/2025)

Delaware
(10/31/2025)

District of Columbia
(10/31/2025)

Florida
(11/4/2025)

Hawaii
(11/3/2025)

Idaho
(10/31/2025)

Illinois
(11/5/2025)

Indiana
(11/12/2025)

Iowa
(11/5/2025)

Kansas
(10/31/2025)

Kentucky
(10/31/2025)

Louisiana
(10/31/2025)

Maine
(10/31/2025)

Maryland
(11/13/2025)

Massachusetts
(10/29/2025)

Michigan
(10/31/2025)

Minnesota
(10/31/2025)

Mississippi
(10/31/2025)

Missouri
(10/30/2025)

Montana
(10/31/2025)

Nebraska
(10/29/2025)

Nevada
(11/3/2025)

New Hampshire
(11/4/2025)

New Mexico
(10/31/2025)

New York
(11/9/2025)

North Carolina
(10/31/2025)

North Dakota
(11/6/2025)

Ohio
(10/29/2025)

Oklahoma
(11/3/2025)

Oregon
(10/30/2025)

Pennsylvania
(10/30/2025)

Puerto Rico
(11/4/2025)

Rhode Island
(11/3/2025)

South Carolina
(10/31/2025)

South Dakota
(11/4/2025)

Tennessee
(10/31/2025)

Texas
(10/30/2025)

Utah
(10/30/2025)

Vermont
(10/31/2025)

Virginia
(11/3/2025)

Washington
(11/3/2025)

West Virginia
(11/6/2025)

Wisconsin
(10/29/2025)

Wyoming
(10/31/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 6/2/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/10/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/23/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/23/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC

CRD#: 30107 / SEC#: , 8-44744

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Congress Street, Boston, MA 02114

Mailing Address

One Congress Street, Boston, MA 02114

Phone number

(617) 664-3619

Established

Delaware since 03/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STATE STREET GLOBAL ADVISORS, INC.	PARENT CORPORATION
ALBERICI, MARK F	DIRECTOR	3223458
AMOA, APEAWUSU K	DIRECTOR	7711546
BONDS MAZZA, ALLISON HATHHORN	PRESIDENT AND DIRECTOR	4439495
CORBETT, TIMOTHY PAUL	DIRECTOR
FERRARELLI, JAMES	DIRECTOR	6961735
LAPORTA, JEANNE MARIE	DIRECTOR & CHAIRWOMAN	5946908
TENORIO, EDITHA V	CHIEF FINANCIAL OFFICER	6755490
TRABUCCO, MARK RUSSELL	CHIEF COMPLIANCE OFFICER	4856280
TUCKER, JOHN A	DIRECTOR	7000761

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Paul C. Berard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Clifford Berard's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

DWS DISTRIBUTORS, INC.

MIT ASSOCIATES, LLC

NORTHERN TRUST INVESTMENTS, INCORPORATED

NORTHERN TRUST SECURITIES, INC.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

MORGAN STANLEY DW INC.

INDEPENDENT RESEARCH GROUP LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/2017

Series 63

Date: 7/10/2006

SIE

Date: 10/1/2018

Series 3

Date: 4/23/2014

Series 7

Date: 5/23/1994

FINRA

Current Firm

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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