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Gloria K. Berry

Some features on this profile are disabled
CRD#: 445739
GB

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.

Gloria Kuykendall Berry, who also goes by Gloria June Thompson, was a registered financial professional .

Gloria is a previously registered financial professional and started their career in finance in 1970. Gloria had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gloria June Thompson

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

January 2, 2013 - December 31, 2020

CRESCENT SECURITIES GROUP, INC.

BD
CRD#: 114993
PLANO, TX
Past

March 5, 2007 - December 31, 2012

BALDWIN ANTHONY SECURITIES, INC.

BD
CRD#: 45108
DALLAS, TX
Past

September 13, 2005 - November 21, 2006

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
DALLAS, TX
Past

June 22, 1989 - December 13, 2007

RICHFIELD ORION INTERNATIONAL, INC.

BD
CRD#: 24433
DALLAS, TX
Past

July 27, 1979 - June 28, 1989

M.S. ETHEREDGE & CO., INC.

BD
CRD#: 7648
Past

May 19, 1978 - September 2, 1979

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
Past

July 19, 1973 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488
Past

April 21, 1971 - August 2, 1973

F S SMITHERS & CO INC

BD
CRD#: 1000003
Past

December 23, 1970 - April 26, 1971

GOODBODY & CO. INCORPORATED

BD
CRD#: 362

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.

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 1
Date: 2/17/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/2001
General Securities Principal Examination

Current Firm

CS
CRESCENT SECURITIES GROUP, INC.
CRESCENT SECURITIES GROUP, INC.

CRD#: 114993 / SEC#: , 8-53457

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4975 Preston Park Blvd. Suite 820, Plano, TX 75093
Mailing Address
4975 Preston Park Blvd. Suite 820, Plano, TX 75093
Phone number
(972) 490-0150
Established
Texas since 04/10/2001
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
D2 EQUITY HOLDINGS, INC.SHAREHOLDER
DUREN, TRAVIS NICKDIRECTOR/PRESIDENT/SECRETARY/CCO1589445
STERLING, DONALD WILLIAMFINOP
TRAVIS, RUSSELL WARRENVICE PRESIDENT2759751

Disclosures

Regulatory Event2

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.

Company Information

CRESCENT SECURITIES GROUP, INC.

CRD#: 114993

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