Steven 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.
Steven Berger, who also goes by Steven Jack Berger, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2001. Steven had worked at 3 firms and has passed the Series 63, Series 82TO, Series 7TO, SIE, Series 55 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 6, 2023 - May 21, 2024
FINALIS SECURITIES LLC
April 19, 2006 - March 27, 2007
WHEATLEY CAPITAL SERIES FUND LLC
January 8, 2002 - February 12, 2002
RUMSON CAPITAL, LLC
July 30, 2001 - January 7, 2002
RUMSON CAPITAL, 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
Exams
Series 82TO
Date: 6/6/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 6/6/2023
General Securities Representative ExaminationSeries 55
Date: 11/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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