Richard P. Berry
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.
Richard Paul Berry III, who also goes by Richard Paul Berry, Richard Berry III, Rick Paul Berry III, Richard Paul Berry Iii, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2021 - September 16, 2022
USI SECURITIES, INC.
February 2, 2021 - March 13, 2023
USI ADVISORS
January 6, 2017 - October 10, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 25, 2012 - January 9, 2017
TEACHERS PERSONAL INVESTORS SERVICES, INC.
November 5, 2010 - February 29, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 5, 2010 - February 29, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 10, 2008 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
July 10, 2008 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
May 29, 2007 - May 6, 2008
FORESIDE FUND SERVICES, LLC
May 9, 2003 - October 10, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
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
Current Firm
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
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.
