Tricia L. Berens

FIDELITY & GUARANTY SECURITIES

Des Moines, IA 50309

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CRD#: 5016261

Professional summary

Tricia Lynn Berens, who also goes by Tricia Lynn Berens, Tricia Berens, is a registered financial professional currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa.

Tricia is registered as a RR (Registered Representative) and started their career in finance in 2005. Tricia has worked at 11 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tricia Lynn Berens | Tricia Berens

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 Tricia Lynn Berens'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

March 30, 2023 - Present

FIDELITY & GUARANTY SECURITIES, LLC

Office #1: 801 Grand Ave, Suite 2600, Des Moines, IA 50309

CRD#: 315720

Des Moines, IA

Past

March 17, 2020 - September 13, 2022

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

February 7, 2018 - September 26, 2019

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

July 9, 2015 - January 2, 2018

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

August 15, 2014 - October 3, 2014

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Encino, CA

Past

April 17, 2014 - October 7, 2014

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

April 16, 2014 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 28, 2013 - March 21, 2014

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

MARINA DEL REY, CA

Past

October 28, 2013 - March 21, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 28, 2010 - January 17, 2012

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

September 28, 2010 - January 17, 2012

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 17, 2007 - September 2, 2010

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

September 26, 2006 - October 5, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

May 17, 2006 - October 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 15, 2006 - May 16, 2006

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

BLOOMINGTON, MN

Past

November 10, 2005 - May 16, 2006

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

BLOOMINGTON, MN

State Registrations and Notice Filings

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

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

Alaska
(6/5/2024)

Arizona
(6/5/2024)

California
(6/5/2024)

Colorado
(6/5/2024)

Idaho
(6/5/2024)

Iowa
(4/20/2023)

Montana
(6/5/2024)

Nebraska
(6/5/2024)

Nevada
(1/12/2024)

North Dakota
(6/5/2024)

Oregon
(6/5/2024)

South Dakota
(6/5/2024)

Utah
(6/5/2024)

Washington
(6/5/2024)

Wyoming
(6/5/2024)

Exams

State Security Law Exam

Series 63

Date: 9/1/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/14/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIDELITY & GUARANTY SECURITIES, LLC

FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720 / SEC#: , 8-70916

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

801 Grand Ave. Suite 2600, Des Moines, IA 50309

Mailing Address

801 Grand Ave. Suite 2600, Des Moines, IA 50309

Phone number

+1 (888) 697-5433

Established

Delaware since 08/16/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIDELITY & GUARANTY LIFE INSURANCE COMPANY	DIRECT OWNER
ANDERSON, STEPHEN FRANCIS	CHIEF COMPLIANCE OFFICER AND AML OFFICER	1181095
BARRETT, RONALD JOHN JR	DIRECTOR	2480222
CANTONWINE, TESSA ELIZABETH	SECRETARY	5626630
OLSON, THOMAS G	CHIEF EXECUTIVE OFFICE AND DIRECTOR	2393888
PHELPS, JOHN A	DIRECTOR	5664815
RIP, OLGA	FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER	5440553

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

Tricia L. Berens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tricia Lynn Berens's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURIAN FINANCIAL SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

ALLIANZ LIFE FINANCIAL SERVICES, LLC

ASSETMARK BROKERAGE, LLC

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

RIVERSOURCE DISTRIBUTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/2015

Series 66

Date: 3/14/2011

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2005

FINRA

Current Firm

FIDELITY & GUARANTY SECURITIES, LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FIDELITY & GUARANTY SECURITIES, LLC

TRUST BUT VERIFY

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