PB
Patrick J. Berger
PRINCIPAL SECURITIES
N Sioux City, SD 57049
Some features on this profile are disabled
CRD#: 5553215
PB
Professional summary
Patrick Joseph Berger, who also goes by Pat Joseph Berger, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in N Sioux City, South Dakota.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Patrick has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Joseph 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.
***Berger Insurance & Financial Group, Vice President. Entity established to collect commissions & pay expenses. No business done through entity. No DBA, 08/04/16. ***Holy Spirit Retirement home; Not Investment Related; 1701 W 25th St, Sioux city, IA 51103; Board Member; Approving annual budget and oversight of management company.; Start Date: 01/01/2018; 5 hrs per month; 5 during trading hours. INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 11/03/2021 ADDRESS: 1315 River Drive, N Sioux City SD 57049, United States DESCRIPTION: Combining several OBA's that were duplicating fixed products Selling fixed insurance products through various carriers: Individual fixed life, DI, LTC, health and fixed annuities. Group products: life, DI, health, vision, dental, medical, STD and LTD HEELAN YOUTH ATHLETICS POSITION: Board Member/Girls Basketball Chair NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/28/2022 ADDRESS: 50 13th St, Sioux City IA 51103, United States DESCRIPTION: I am a Board Member & Girls Basketball Chair person for Heelan Youth Athletics. Heelan Youth Athletics is a non profit entity ran by volunteers. We coordinate the youth sports programs offered to girls & boys in 3rd -8th grades at Bishop Heelan Catholic Schools. We oversee the girls & boys basketball, girls volleyball and boys football programs. We help facilitate the registration for these sports, handling of equipment, finding coaches & an annual program fundraiser.
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Joseph Berger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Joseph Berger'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
September 4, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1315 River Dr, N Sioux City, SD 57049RIA
BD
CRD#: 1137
N Sioux City, SD
Current
June 25, 2008 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1315 River Dr, N Sioux City, SD 57049RIA
BD
CRD#: 1137
N Sioux City, SD
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
Arizona(11/7/2018)
RR
Arkansas(5/6/2023)
RR
Colorado(4/8/2019)
RR
Florida(9/25/2020)
RR
Iowa(7/24/2008)
RR
Kansas(3/20/2019)
RR
Minnesota(1/7/2020)
RR
Nebraska(7/24/2008)
RR
New Jersey(6/10/2014)
RR
New York(6/24/2013)
RR
South Dakota(7/8/2008)
IAR
South Dakota(9/4/2014)
RR
Texas(9/15/2023)
IAR
Texas(9/18/2023)
RR
Utah(2/17/2021)
RR
Wisconsin(12/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
