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KB

Keira Berger

THALES CAPITAL PARTNERS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2912686
KB

Professional summary

Keira Berger, who also goes by Keira D Berger, Keira Danielle Berger, Keira Berger, Keira D Reich, Keira Danielle Reich, Keira Reich, is a registered financial professional currently at THALES CAPITAL PARTNERS LLC located in New York, New York.

Keira is registered as a RR (Registered Representative) and started their career in finance in 1997. Keira has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keira D Berger | Keira Danielle Berger | Keira Berger | Keira D Reich | Keira Danielle Reich | Keira Reich

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 Keira Berger'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

March 25, 2026 - Present

THALES CAPITAL PARTNERS LLC

Office #1: 540 Madison Avenue 4th Floor, New York, NY 10022
BD
CRD#: 172125
New York, NY
Past

October 12, 2023 - August 5, 2024

OLD CITY SECURITIES LLC

BD
CRD#: 171910
NEW YORK, NY
Past

February 16, 2021 - November 4, 2021

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

May 25, 2019 - November 19, 2020

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
NEW YORK, NY
Past

July 31, 2018 - May 25, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

September 29, 2010 - April 28, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

July 8, 2010 - April 28, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 17, 2003 - January 10, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 26, 1997 - September 6, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(3/25/2026)
RR
Colorado
(3/27/2026)
RR
Connecticut
(3/25/2026)
RR
Florida
(3/25/2026)
RR
Georgia
(3/25/2026)
RR
Illinois
(3/25/2026)
RR
Kansas
(3/25/2026)
RR
Maryland
(3/25/2026)
RR
Massachusetts
(3/25/2026)
RR
Michigan
(3/25/2026)
RR
Nevada
(3/25/2026)
RR
New Jersey
(3/25/2026)
RR
New York
(3/25/2026)
RR
North Carolina
(3/25/2026)
RR
Ohio
(3/26/2026)
RR
Pennsylvania
(3/25/2026)
RR
Rhode Island
(3/25/2026)
RR
South Carolina
(3/25/2026)
RR
Texas
(3/25/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/5/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/17/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
THALES CAPITAL PARTNERS LLC
THALES CAPITAL PARTNERS LLC

CRD#: 172125 / SEC#: , 8-69498

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
540 Madison Avenue 4th Floor, New York, NY 10022
Mailing Address
540 Madison Avenue 4th Floor, New York, NY 10022
Phone number
(646) 664-0650
Established
Delaware since 02/29/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THALES ASSOCIATES LLCMEMBER
COHEN, MARC MOSHECEO2744699
OSHEA, TIMOTHY SEANCFO/FINOP1977624
THALES MANAGEMENT LLCMANAGER
TONDI, PASQUALE FRANCISCCO1208585

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.

Company Information

THALES CAPITAL PARTNERS LLC

CRD#: 172125New York, NY 10022

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