Brett Berg

PRUDENTIAL ANNUITIES DISTRIBUTORS,

Shelton, CT 06484

Some features on this profile are disabled

CRD#: 2872238

Professional summary

Brett Berg, who also goes by Brett William Berg, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1997. Brett has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brett William Berg

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 Brett Berg's CRS (Customer Relationship Summary).

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

April 18, 2019 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484

CRD#: 21570

Shelton, CT

Past

April 1, 2011 - April 10, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

OMAHA, NE

Past

July 29, 2009 - August 11, 2009

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

ADDISON, TX

Past

May 29, 2009 - August 11, 2009

NYLIFE SECURITIES LLC

CRD#: 5167

ADDISON, TX

Past

June 5, 2007 - April 13, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

October 4, 2000 - May 21, 2007

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

June 15, 1999 - December 31, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

October 8, 1997 - April 30, 1999

GWR INVESTMENTS, INC.

CRD#: 25312

OMAHA, NE

Past

June 13, 1997 - October 8, 1997

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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

Nebraska
(1/9/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/28/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/12/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Corporate Drive, Shelton, CT 06484

Mailing Address

One Corporate Drive, Shelton, CT 06484

Phone number

(800) 628-6039

Established

Delaware since 09/08/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SHAREHOLDER COMMON
CARROLL, TRACEY MARIA	PRESIDENT	5841463
HAGGERTY, SCOTT PETER	CHIEF EXECUTIVE OFFICER	2619329
HARTNETT, CHRISTINA A	CHIEF OPERATING OFFICER	2672099
MCGRATH, SHANE THOMAS	CHIEF COMPLIANCE OFFICER	4458909
SMIT, ROBERT PHILIP	FINOP, CFO	2332366
THOMSEN, JORDAN K	CHIEF LEGAL OFFICER AND SECRETARY	2821664

Disclosures

Regulatory Event	2
Civil Event	1

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.

Similar Advisors

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brett Berg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

PRUCO SECURITIES, LLC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

HIMCO DISTRIBUTION SERVICES COMPANY

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

GWR INVESTMENTS, INC.

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/1997

Series 63

Date: 6/19/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/12/1997

Series 24

Date: 8/18/1997

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

TRUST BUT VERIFY

Similar Advisors