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SB

Spencer R. Berg

SEABURY SECURITIES LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 4956490
SB

Professional summary

Spencer Ross Berg is a registered financial professional currently at SEABURY SECURITIES LLC located in New York, New York.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2008. Spencer has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Spencer Ross Berg's CRS (Customer Relationship Summary).

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

Current

April 17, 2024 - Present

SEABURY SECURITIES LLC

Office #1: 152 W 57th Street 53rd Floor, New York, NY 10019
BD
CRD#: 41916
New York, NY
Past

April 7, 2021 - July 6, 2023

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

November 21, 2008 - April 6, 2021

SMG SECURITIES, INC.

BD
CRD#: 17406
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SEABURY SECURITIES LLC
SEABURY SECURITIES LLC

CRD#: 41916 / SEC#: , 8-49624

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

Main Address
152 W 57th Street 53rd Floor, New York, NY 10019
Mailing Address
152 W 57th Street 53rd Floor, New York, NY 10019
Phone number
(212) 284-1150
Established
Delaware since 07/31/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LUTH, JOHN EDWARDCHAIRMAN & PRESIDENT2803235
DOWLING, PATRICK HENRYSENIOR MANAGING DIRECTOR & CCO5859111
MARRONE, MICHAEL THOMASFINOP4859949

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

SEABURY SECURITIES LLC

CRD#: 41916New York, NY 10019

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