Roberta Y. 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.
Roberta Youron Berger, who also goes by Roberta Y Berger, Roberta Stroud, Roberta Ann Youron, was a registered financial professional .
Roberta is a previously registered financial professional and started their career in finance in 1998. Roberta had worked at 12 firms and has passed the Series 65, Series 63, SIE 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
June 8, 2018 - July 20, 2018
BMA SECURITIES, LLC
August 2, 2013 - December 9, 2015
CALTON & ASSOCIATES, INC.
April 24, 2012 - August 1, 2013
CENTER STREET SECURITIES, INC.
February 10, 2012 - March 29, 2012
SOUTHEAST INVESTMENTS, N.C., INC.
October 21, 2005 - April 29, 2011
KOVACK SECURITIES INC.
September 1, 2004 - September 30, 2005
USALLIANZ SECURITIES, INC.
January 3, 2003 - August 20, 2004
HIGH MARK SECURITIES, INC.
July 27, 2001 - January 8, 2003
INVESTACORP, INC.
July 20, 2001 - July 20, 2001
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
July 26, 1999 - July 17, 2001
UBS FINANCIAL SERVICES INC.
January 4, 1999 - July 29, 1999
JWGENESIS FINANCIAL GROUP, INC
March 12, 1998 - January 4, 1999
CHATFIELD DEAN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
BMA SECURITIES, LLC
CRD#: 108219 / SEC#: , 8-53073
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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