Howard G. Berg
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.
Howard George Berg was a registered financial advisor .
Howard is a previously registered financial advisor and started their career in finance in 1970. Howard had worked at 13 firms and has passed the Series 6, Series 5, Series 1, Series 26 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1993 - August 18, 2010
JACKSON, GRANT INVESTMENT ADVISERS, INC.
April 17, 1991 - August 18, 2010
JACKSON, GRANT & COMPANY
May 1, 1987 - March 9, 1988
MOSELEY INTERNATIONAL INC.
January 16, 1987 - November 30, 1987
LEWCO SECURITIES CORP.
July 24, 1986 - August 19, 1987
MOSELEY SECURITIES CORPORATION
September 16, 1982 - February 27, 1986
UBS FINANCIAL SERVICES INC.
November 26, 1979 - December 16, 1981
LEHMAN BROTHERS INC.
February 28, 1979 - September 17, 1981
FIRST WALL STREET SETTLEMENT CORPORATION
January 18, 1978 - November 26, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
June 25, 1975 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
August 14, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
July 23, 1970 - August 14, 1974
LOEB RHOADES & CO
Primary Firm SEC Registration
JACKSON, GRANT INVESTMENT ADVISERS, INC.
CRD#: 108156 / SEC#: 801-56267
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 8/19/1957
Registered Representative ExaminationSeries 40
Date: 11/4/1971
Registered Principal ExaminationCurrent Firm
JACKSON, GRANT INVESTMENT ADVISERS, INC.
CRD#: 108156 / SEC#: 801-56267
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 498,973,420 |
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.
