Kyle S. Berg
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.
Kyle Scott Berg was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 1994. Kyle had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2018 - May 12, 2023
WELLS FARGO CLEARING SERVICES, LLC
March 29, 2018 - May 12, 2023
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2015 - April 4, 2018
LPL FINANCIAL LLC
August 24, 2015 - April 4, 2018
LPL FINANCIAL LLC
May 26, 2015 - July 1, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
August 25, 2014 - July 1, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
February 14, 2013 - September 3, 2014
LPL FINANCIAL LLC
December 16, 2011 - September 3, 2014
LPL FINANCIAL LLC
November 11, 2011 - December 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
November 11, 2011 - December 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 19, 2003 - November 14, 2011
EDWARD JONES
June 19, 2003 - November 14, 2011
EDWARD JONES
October 1, 1996 - June 20, 2003
M&I FINANCIAL ADVISORS, INC
December 23, 1994 - September 30, 1996
IDS LIFE INSURANCE COMPANY
December 23, 1994 - September 30, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 1994 - December 19, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 11, 1994 - December 19, 1994
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
