Louis E. Berger

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

NEW YORK, NY 10011

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CRD#: 5265166

Professional summary

Louis Elliot Berger, who also goes by Louis Berger, is a registered financial advisor currently at WASHINGTON SQUARE CAPITAL MANAGEMENT LLC located in New York, New York.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Louis has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Louis Berger

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) - RIA

Click below to view Louis Elliot Berger's CRS (Customer Relationship Summary).

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

May 15, 2009 - Present

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

Office #1: 33 West 19th Street 4th Floor, New York, NY 10011

RIA

CRD#: 150335

NEW YORK, NY

Past

November 10, 2008 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

February 23, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC | WSQ CAPITAL

CRD#: 150335 / SEC#: 801-96237

RIA

Registered Investment Advisory firm - (5/8/2015 Approved)

California

Registered Investment Advisory firm - (12/31/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (12/31/2015 Terminated)

New York

Registered Investment Advisory firm - (12/31/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/20/2021)

IAR

Texas
(6/5/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/30/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/22/2007

General Securities Representative Examination

Current Firm

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC | WSQ CAPITAL

CRD#: 150335 / SEC#: 801-96237

RIA

Registered Investment Advisory firm - (5/8/2015 Approved)

California

Registered Investment Advisory firm - (12/31/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (12/31/2015 Terminated)

New York

Registered Investment Advisory firm - (12/31/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2015 Terminated)

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Contact information

Main Address

222 Broadway 19th Flr, New York, NY 10038

Mailing Address

Phone number

(646) 450-9772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts	129
AUM (Assets Under Management)	$ 81,865,053

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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Louis E. Berger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Elliot Berger's CRS (Customer Relationship Summary).

Certified licenses

Experience

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2007

Series 7

Date: 2/22/2007

Current Firm

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WASHINGTON SQUARE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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