LB
Luke D. Berte
VISION INVESTMENT ADVISORS
STAMFORD, CT 06901
Some features on this profile are disabled
CRD#: 6483149
LB
Professional summary
Luke David Berte, who also goes by Luke Berte, is a registered financial advisor currently at VISION INVESTMENT ADVISORS, LLC located in Stamford, Connecticut and VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Luke has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Luke Berte
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.
CRS (Client Relationship Summary) - RIA
Click below to view Luke David Berte's 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®
NoneExperience
Current
June 5, 2019 - Present
VISION INVESTMENT ADVISORS, LLC
Office #1: 1010 Washington Blvd Suite 300, Stamford, CT 06901RIA
CRD#: 109621
STAMFORD, CT
Current
February 1, 2020 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd Suite 300, Stamford, CT 06901BD
CRD#: 142271
STAMFORD, CT
Past
February 1, 2020 - March 24, 2023
VISION BROKERAGE SERVICES, LLC
BD
CRD#: 47927
Stamford, CT
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".
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)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.RR
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
Connecticut(6/5/2019)
RR
Connecticut(2/1/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)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
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
Phone number
(203) 388-2700
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 117,879,479 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/24/2023 | ||
| 11/28/2022 |
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.
