Erik W. Berge

CITIZENS PRIVATE WEALTH

BOSTON, MA 02110

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CRD#: 5638425

Professional summary

Erik Wayne Berge, who also goes by Erik Wayne Berge, Erik Berge, Erik W Berge, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Boston, Massachusetts and CITIZENS SECURITIES, INC. located in Boston, Massachusetts.

Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Erik has worked at 9 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erik Wayne Berge | Erik Berge | Erik W Berge

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 Erik Wayne Berge'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

October 17, 2024 - Present

CITIZENS PRIVATE WEALTH

Office #1: 99 High Street Floor 22, Boston, MA 02110

RIA

CRD#: 106743

BOSTON, MA

Current

February 13, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 772 Boylston Street Ma515, Boston, MA 02199

RIA

CRD#: 39550

Boston, MA

Past

February 13, 2024 - August 10, 2024

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Boston, MA

Past

November 29, 2023 - August 10, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

November 17, 2022 - August 16, 2024

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

Boston, MA

Past

November 15, 2010 - July 24, 2017

GW & WADE ASSET MANAGEMENT COMPANY, LLC

CRD#: 25745

WELLESLEY, MA

Past

October 23, 2009 - September 30, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BOSTON, MA

Past

October 8, 2009 - September 30, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BOSTON, MA

Past

April 15, 2009 - September 25, 2009

NEW ENGLAND SECURITIES

RIA

CRD#: 615

BOSTON, MA

Past

March 27, 2009 - September 25, 2009

NEW ENGLAND SECURITIES

CRD#: 615

BOSTON, MA

Past

March 4, 2009 - April 20, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHARLESTOWN, MA

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".

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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.

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

IAR

Massachusetts
(10/17/2024)

Massachusetts
(2/13/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/19/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/7/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/13/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/29/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/8/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/3/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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Contact information

Main Address

520 White Plains Road 3rd Floor, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 846-0100

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,846
AUM (Assets Under Management)	$ 12,182,945,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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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Firm Stability Insights

Erik W. Berge

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik Wayne Berge's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

GW & WADE ASSET MANAGEMENT COMPANY, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/2023

Series 65

Date: 11/7/2022

Series 66

Date: 3/13/2009

Series 7TO

Date: 11/29/2023

SIE

Date: 9/8/2023

Series 7

Date: 3/3/2009

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITIZENS PRIVATE WEALTH

TRUST BUT VERIFY

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