Michael D. Berg

CMC ADVISORS

BROOKLYN, NY

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CRD#: 2633827

Professional summary

Michael David Berg is a registered financial advisor currently at CMC ADVISORS, INC. located in Brooklyn, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Michael has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. CMC INTERACTIVE, LLC, A THIRD PARTY PENSION PLAN ADMINISTRATOR IS NON INVESTMENT RELATED AND LOCATED AT 75 BROAD STREET, 30TH FLOOR, NEW YORK, NY 10004.I WAS INITIALLY EMPLOYED THERE IN DECEMBER, 2001. I HAVE BEEN AN OWNER SINCE JANUARY, 2007 AND DEVOTE APPROXIMATELY 100 HOURS PER MONTH, 50 OF THESE DURING SECURITIES TRADING HOURS TO SALES AND INVESTMENT REVIEWS. 2. TCR DEVELOPMENT, LLC; 8/25/2006-PRESENT(NOT INVESTMENT RELATED)OWNER/CO-FOUNDER/PRINCIPAL 4040 WOODCOCK DRIVE, SUITE 250, JACKSONVILLE, FL 32207 SOFTWARE DEVELOPMENT & IT SUPPORT RELATIONSHIP TO CMC ADVISORS/CMC INTERACTIVE-SOME OF THE SAME OWNERS, CMC ADVISORS AND CMC INTERACTIVE USE TCR'S SOFTWARE. 3.SOLEHUB,LLC; 9/11/2013-PRESENT (NOT INVESTMENT RELATED) OWNER/CO-FOUNDER/PRINCIPAL 75 BROAD STREET, #3010, NEW YORK, NY 10004 E-COMMERCE RELATIONSHIP TO CMC ADVISORS/CMC INTERACTIVE-SOME OF THE SAME OWNERS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Berg'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 3, 2008 - Present

CMC ADVISORS, INC.

RIA

CRD#: 123811

BROOKLYN, NY

Past

August 1, 2003 - January 13, 2004

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

January 20, 1998 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

October 10, 1996 - June 26, 1997

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

November 17, 1995 - October 4, 1996

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

July 27, 1995 - November 16, 1995

MILLENNIUM SECURITIES CORP.

CRD#: 31695

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CMC ADVISORS, INC.

CRD#: 123811 / SEC#: 801-62466

RIA

Registered Investment Advisory firm - (10/31/2003 Approved)

New York

Registered Investment Advisory firm - (11/3/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/3/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/26/1995

General Securities Representative Examination

Current Firm

CMC ADVISORS, INC.

CRD#: 123811 / SEC#: 801-62466

RIA

Registered Investment Advisory firm - (10/31/2003 Approved)

New York

Registered Investment Advisory firm - (11/3/2003 Terminated)

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Contact information

Main Address

433 Plaza Real Suite 275, Boca Raton, FL 33432

Mailing Address

Phone number

(212) 402-1850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/29/2025)

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
12/20/2024	Cover Page	Report
03/28/2024	Cover Page	Report
11/28/2022	Cover Page	Report

Red Flags

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

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Firm Stability Insights

Michael D. Berg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Berg's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

GKN SECURITIES CORP.

JOSEPH STEVENS & CO., INC.

MILLENNIUM SECURITIES CORP.

Primary Firm SEC Registration

CMC ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2005

Series 63

Date: 8/10/1995

Series 7

Date: 7/26/1995

Current Firm

CMC ADVISORS, INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Accountant surprise examination report

Red Flags

Company Information

CMC ADVISORS, INC.

TRUST BUT VERIFY

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