Christopher J. Berkley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher John Berkley, who also goes by Christopher Berkley, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2011. Christopher had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 12, 2018 - January 11, 2021
TD AMERITRADE, INC.
April 11, 2018 - January 11, 2021
TD AMERITRADE, INC.
July 30, 2014 - July 20, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
July 30, 2014 - July 20, 2017
BLACKROCK INVESTMENTS, LLC
May 16, 2012 - July 15, 2014
EQUITABLE ADVISORS, LLC
December 14, 2011 - July 15, 2014
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/21/2022
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
Red Flags
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