Alan G. Berkshire
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.
Alan Glenn Berkshire, who also goes by Alan G Berkshire, Alan Gleen Berkshire, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1999. Alan had worked at 4 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2011 - June 8, 2012
RELIGARE CAPITAL MARKETS INC.
July 22, 2002 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
July 22, 2002 - July 7, 2009
NUVEEN FUND ADVISORS, LLC
September 27, 1999 - July 7, 2009
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RELIGARE CAPITAL MARKETS INC.
CRD#: 153292 / SEC#: , 8-68518
Contact information
Documents
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.
