William L. Berlin
Professional summary
William Leonard Berlin is a registered financial advisor currently at MAINSTAY CAPITAL MANAGEMENT, LLC located in Grand Blanc, Michigan.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. William has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Leonard Berlin's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2021 - Present
MAINSTAY CAPITAL MANAGEMENT, LLC
Office #1: 10775 South Saginaw Bldg C, Suite F, Grand Blanc, MI 48439February 11, 2021 - February 25, 2021
MAINSTAY CAPITAL MANAGEMENT, LLC
April 1, 2014 - January 11, 2021
TD AMERITRADE, INC.
March 11, 2014 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 11, 2014 - January 11, 2021
TD AMERITRADE, INC.
December 6, 2011 - March 26, 2014
GREYSTONE FINANCIAL GROUP, INC.
October 19, 2010 - November 14, 2011
J2 CAPITAL MANAGEMENT, INC.
January 4, 2010 - August 31, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 12, 2006 - August 31, 2010
TD AMERITRADE, INC.
April 12, 2006 - August 31, 2010
TD AMERITRADE, INC.
September 22, 2004 - June 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2004 - June 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2003 - August 9, 2004
LASALLE FINANCIAL SERVICES, INC.
February 21, 2003 - October 10, 2003
BANC ONE SECURITIES CORPORATION
September 26, 2000 - January 31, 2003
HANTZ FINANCIAL SERVICES, INC.
April 28, 1998 - October 19, 2000
IDS LIFE INSURANCE COMPANY
April 28, 1998 - October 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MAINSTAY CAPITAL MANAGEMENT, LLC
CRD#: 109528 / SEC#: 801-58099
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/21/2021)
Exams
Current Firm
MAINSTAY CAPITAL MANAGEMENT, LLC
CRD#: 109528 / SEC#: 801-58099
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 4,802,375,480 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 12/20/2024 | ||
| 10/23/2023 |
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.
