Nicholas W. Berry
Professional summary
Nicholas Wayne Berry is a registered financial professional currently at PHILPOTT BALL & WERNER, LLC located in Charlotte, North Carolina.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Wayne Berry's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2011 - Present
PHILPOTT BALL & WERNER, LLC
Office #1: 11325 North Community House Road Suite 430, Charlotte, NC 28277Office #2: 11325 North Community House Road Suite 430, Charlotte, NC 28277State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2012)
(2/6/2012)
(1/2/2014)
(3/26/2012)
(11/21/2016)
(1/17/2012)
(9/10/2014)
(2/6/2012)
(2/19/2014)
(4/9/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PHILPOTT BALL & WERNER, LLC
CRD#: 156364 / SEC#: , 8-68785
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PHILPOTT BALL & WERNER, INC. | MANAGING MEMBER | |
| BERRY, NICHOLAS WAYNE | MANAGER | |
| VITTOR, GREG TODD | CFO/ FINOP | 1864219 |
| WERNER, EDWARD L | CEO/ CCO/ MANAGER |
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.
