SB
Stephen S. Berkeley
LOOP CAPITAL MARKETS
New York, NY 10005
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CRD#: 5616433
SB
Professional summary
Stephen Sidney Berkeley is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2008. Stephen has worked at 1 firm and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 87, Series 7, Series 14, Series 53 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Sidney Berkeley'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
November 21, 2008 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 88 Pine Street 25th Floor, New York, NY 10005Office #2: 1515 Market Street Suite 1200, Philadelphia, PA 19102Office #3: 600 Superior Ave. East Fifth Third Building; Suite 1300, Cleveland, OH 44114Office #4: 6080 Center Drive 6th Floor, Los Angeles, CA 90045Office #5: 425 S. Financial Place Ste 2700, Chicago, IL 60605Office #6: 222 S Main Street 5th Floor, Salt Lake City, UT 84101Office #7: 440 Louisiana 900, Houston, TX 77002Office #8: 1175 Peachtree St. Ne Suite 1000, Atlanta, GA 30361Office #9: 400 Renaissance Center Suite 2600, Detroit, MI 48243Office #10: 100 South 4th Street, Suite 550, St. Louis, MO 63102Office #11: 75 State Street 1st Floor, Boston, MA 02109Office #12: 425 S. Financial Pl., Ste. 2700, Chicago, IL 60605Office #13: 1100 Poydras Street Suite 2900, New Orleans, LA 70163RIA
BD
CRD#: 43098
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
Illinois(12/5/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
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.
