Richard J. Berger
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.
Richard Jay Berger was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1998. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2006 - July 15, 2009
FAIRPORT CAPITAL, INC.
September 14, 2006 - November 20, 2006
CANTELLA & CO., INC.
September 12, 2006 - November 20, 2006
CANTELLA & CO., INC.
April 19, 2006 - September 8, 2006
INVESTORS CAPITAL CORP.
April 18, 2006 - September 8, 2006
INVESTORS CAPITAL CORP.
March 24, 2006 - April 12, 2006
SPC
October 20, 2004 - February 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - February 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 10, 2004 - October 20, 2004
QUICK & REILLY, INC.
December 11, 2002 - October 20, 2004
QUICK & REILLY, INC.
February 6, 2001 - September 18, 2002
CITICORP INVESTMENT SERVICES
September 11, 2000 - February 8, 2001
WEATHERLY SECURITIES CORPORATION
August 15, 2000 - September 13, 2000
GRUNTAL & CO., L.L.C.
September 10, 1998 - August 17, 2000
MORGAN STANLEY DW 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
Current Firm
FAIRPORT CAPITAL, INC.
CRD#: 15034 / SEC#: , 8-32162
Contact information
FINRA licenses (13 States and Territories)
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.
