Gregory A. 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.
Gregory Alan Berger, who also goes by Gregory A Berger, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1997. Gregory had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
April 14, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 27, 2013 - February 26, 2018
SCOTTRADE, INC.
March 20, 2007 - January 4, 2013
OPPENHEIMER & CO. INC.
March 19, 2007 - January 4, 2013
OPPENHEIMER & CO. INC.
September 3, 2002 - March 28, 2007
UBS FINANCIAL SERVICES INC.
August 30, 2002 - March 28, 2007
UBS FINANCIAL SERVICES INC.
December 16, 1997 - September 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 1997 - September 6, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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