Brian M. Berger

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CRD#: 3208127

Professional summary

Brian Michael Berger was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Brian is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Brian had worked at 7 firms, which includes WEALTH TEAMS ALLIANCE, NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, MSI FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 25, 2015 - July 20, 2015

WEALTH TEAMS ALLIANCE

RIA

CRD#: 7059

BOCA RATON, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1999

General Securities Representative Examination

Current Firm

WEALTH TEAMS ALLIANCE

CRD#: 168907 / SEC#: 801-122977

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

California

Registered Investment Advisory firm - (1/21/2023 Terminated)

Colorado

Registered Investment Advisory firm - (11/9/2018 Terminated)

Florida

Registered Investment Advisory firm - (12/22/2022 Terminated)

Kansas

Registered Investment Advisory firm - (12/22/2022 Terminated)

Michigan

Registered Investment Advisory firm - (11/16/2018 Terminated)

Minnesota

Registered Investment Advisory firm - (3/13/2018 Terminated)

Rhode Island

Registered Investment Advisory firm - (11/8/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/22/2022 Terminated)

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Contact information

Main Address

15520 Rockfield Blvd Suite G, Irvine, CA 92618

Mailing Address

Phone number

(877) 282-4768

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTH TEAMS ALLIANCE WRAP BROCHURE (3/28/2025)

WEALTH TEAMS ALLIANCE ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	950
AUM (Assets Under Management)	$ 205,554,000

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.

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Advisor Monitoring

Firm Stability Insights

Brian M. Berger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

WEALTH TEAMS ALLIANCE

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2003

Series 63

Date: 8/23/2001

SIE

Date: 6/15/2015

Series 7

Date: 11/16/1999

Current Firm

WEALTH TEAMS ALLIANCE

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH TEAMS ALLIANCE

TRUST BUT VERIFY

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