Keith R. 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.
Keith Richard Berger, who also goes by Keith Richard Berger, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 2012. Keith had worked at 2 firms and has passed the Series 99 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2013 - January 22, 2014
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
August 23, 2012 - January 22, 2014
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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