BB
Brian R. Berg
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
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CRD#: 5416031
BB
Professional summary
Brian Richard Berg, who also goes by Brian Berg, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2007. Brian has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Berg
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.
CRS (Client Relationship Summary) - BD
Click below to view Brian Richard 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®
NoneExperience
Current
January 25, 2024 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
July 31, 2014 - September 27, 2023
PGM GLOBAL INC.
BD
CRD#: 104387
Woburn, MA
Past
March 12, 2013 - April 29, 2014
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
EVERETT, MA
Past
October 13, 2010 - February 5, 2013
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
July 31, 2009 - September 29, 2010
VIRTU ALTERNET SECURITIES LLC
BD
CRD#: 47867
NEW YORK, NY
Past
November 15, 2007 - September 29, 2010
VIRTU ITG LLC
BD
CRD#: 29299
BOSTON, MA
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
Alabama(1/25/2024)
RR
Alaska(1/25/2024)
RR
Arizona(1/25/2024)
RR
Arkansas(1/25/2024)
RR
California(1/25/2024)
RR
Colorado(1/25/2024)
RR
Connecticut(1/25/2024)
RR
Delaware(1/25/2024)
RR
District of Columbia(1/25/2024)
RR
Florida(1/25/2024)
RR
Georgia(1/25/2024)
RR
Hawaii(1/25/2024)
RR
Idaho(1/25/2024)
RR
Illinois(1/25/2024)
RR
Indiana(1/25/2024)
RR
Iowa(1/25/2024)
RR
Kansas(1/25/2024)
RR
Kentucky(1/25/2024)
RR
Louisiana(1/25/2024)
RR
Maine(1/25/2024)
RR
Maryland(1/25/2024)
RR
Massachusetts(1/25/2024)
RR
Michigan(1/25/2024)
RR
Minnesota(1/25/2024)
RR
Mississippi(1/25/2024)
RR
Missouri(1/25/2024)
RR
Montana(1/25/2024)
RR
Nebraska(1/25/2024)
RR
Nevada(1/25/2024)
RR
New Hampshire(1/25/2024)
RR
New Jersey(1/25/2024)
RR
New Mexico(1/25/2024)
RR
New York(1/25/2024)
RR
North Carolina(1/25/2024)
RR
North Dakota(1/25/2024)
RR
Ohio(1/25/2024)
RR
Oklahoma(1/25/2024)
RR
Oregon(1/25/2024)
RR
Pennsylvania(1/25/2024)
RR
Puerto Rico(1/25/2024)
RR
Rhode Island(1/25/2024)
RR
South Carolina(1/25/2024)
RR
South Dakota(1/25/2024)
RR
Tennessee(1/25/2024)
RR
Texas(1/25/2024)
RR
Utah(1/25/2024)
RR
Vermont(1/25/2024)
RR
Virginia(1/25/2024)
RR
Washington(1/25/2024)
RR
West Virginia(1/25/2024)
RR
Wisconsin(1/25/2024)
RR
Wyoming(1/25/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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