Rebecca S. Raff

NADLER FINANCIAL GROUP

DEERFIELD, IL 60015

Some features on this profile are disabled

CRD#: 5874969

Professional summary

Rebecca Sarah Raff, CFP®, who also goes by Rebecca Sarah Berg, is a registered financial advisor currently at NADLER FINANCIAL GROUP, INC. located in Deerfield, Illinois and AUSDAL FINANCIAL PARTNERS, INC. located in Deerfield, Illinois.

Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Rebecca has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rebecca Sarah 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.

NADLER FINANCIAL GROUP RIA; FINANCIAL PLANNING RELATIONSHIP MANAGER; EMPLOYEE; 10/2011; SHAREHOLDER AS OF 7.1.21; 160 HOURS PER MONTH DEVOTED; 130 HOURS PER MONTH DURING TRADING HOURS; INVESTMENT ADVISORY; FINANCIAL PLANNING; RELATIONSHIP MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Sarah Raff'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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

January 30, 2012 - Present

NADLER FINANCIAL GROUP, INC.

Office #1: 750 Estate Drive Suite 110, Deerfield, IL 60015

RIA

CRD#: 122617

DEERFIELD, IL

Current

November 15, 2011 - Present

AUSDAL FINANCIAL PARTNERS, INC.

Office #1: 750 Estate Drive, Suite 110, Deerfield, IL 60015

RIA

CRD#: 7995

DEERFIELD, IL

Past

April 6, 2011 - May 5, 2011

PEAK6 CAPITAL MANAGEMENT LLC

CRD#: 43773

CHICAGO, IL

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".

NADLER FINANCIAL GROUP, INC.

NADLER FINANCIAL GROUP, INC. | VRN FINANCIAL SERVICES, INC.

CRD#: 122617 / SEC#: 801-61462

RIA

Registered Investment Advisory firm - (9/13/2002 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

Illinois
(1/5/2012)

IAR

Illinois
(1/30/2012)

IAR

Texas
(10/13/2023)

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

IAR

Series 66

Date: 1/4/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/14/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NADLER FINANCIAL GROUP, INC.

NADLER FINANCIAL GROUP, INC. | VRN FINANCIAL SERVICES, INC.

CRD#: 122617 / SEC#: 801-61462

RIA

Registered Investment Advisory firm - (9/13/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

750 Estate Drive Suite 110, Deerfield, IL 60015

Mailing Address

Phone number

(847) 940-4040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NADLER FINANCIAL GROUP, INC. ADV PART 2A (11/6/2025)

Regulatory assets under management

Total Number of Accounts	3,081
AUM (Assets Under Management)	$ 1,919,058,570

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

Jason Erickson

VAN AKE CAPITAL LLC

IAR

WINNETKA, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rebecca S. Raff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rebecca Sarah Raff's CRS (Customer Relationship Summary).

Certified licenses

Experience

NADLER FINANCIAL GROUP, INC.

AUSDAL FINANCIAL PARTNERS, INC.

PEAK6 CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

NADLER FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2012

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2011

FINRA

Current Firm

NADLER FINANCIAL GROUP, INC.

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NADLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors