JB
Jacob E. Berman
DC ADVISORY
NEW YORK, NY 10158
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CRD#: 6549047
JB
Professional summary
Jacob Eric Berman is a registered financial professional currently at DC ADVISORY located in New York, New York.
Jacob is registered as a RR (Registered Representative) and started their career in finance in 2015. Jacob has worked at 1 firm and has passed the SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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) - BD
Click below to view Jacob Eric Berman'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
December 17, 2015 - Present
DC ADVISORY
Office #1: 605 Third Avenue 11th Floor, New York, NY 10158BD
CRD#: 129919
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DA
DC ADVISORY
DAIWA CORPORATE ADVISORY LLC | SAGENT ADVISORS, LLC | SAGENT ADVISORS, INC. | SAGENT ADVISORS INC. | DCS ADVISORY LLC | DC ADVISORY US | DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
605 Third Avenue 11th Floor, New York, NY 10158
Mailing Address
605 Third Avenue 11th Floor, New York, NY 10158
Phone number
(212) 904-9400
Established
Delaware since 04/01/2012
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
Red Flags
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