Jake L. Berman

FMB WEALTH MANAGEMENT

Westlake Village, CA 91362

Some features on this profile are disabled

CRD#: 6905569

Professional summary

Jake L Berman is a registered financial advisor currently at FMB WEALTH MANAGEMENT located in Westlake Village, California and FMB RETIREMENT SERVICES located in Westlake Village, California.

Jake is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Jake has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jake L Berman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 5, 2018 - Present

FMB WEALTH MANAGEMENT

Office #1: 100 N. Westlake Blvd., Suite 201, Westlake Village, CA 91362

RIA

CRD#: 122309

Westlake Village, CA

Current

March 15, 2023 - Present

FMB RETIREMENT SERVICES

Office #1: 100 N. Westlake Blvd. #201, Westlake Village, CA 91362

RIA

CRD#: 164571

Westlake Village, CA

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".

FMB WEALTH MANAGEMENT

FIELDS FINANCIAL ASSOCIATES, INC. | FMB WEALTH MANAGEMENT

CRD#: 122309 / SEC#: 801-61556

RIA

Registered Investment Advisory firm - (11/8/2002 Approved)

California

Registered Investment Advisory firm - (12/6/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(2/5/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/5/2018

Uniform Investment Adviser Law Examination

Current Firm

FMB WEALTH MANAGEMENT

FIELDS FINANCIAL ASSOCIATES, INC. | FMB WEALTH MANAGEMENT

CRD#: 122309 / SEC#: 801-61556

RIA

Registered Investment Advisory firm - (11/8/2002 Approved)

California

Registered Investment Advisory firm - (12/6/2002 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

100 N. Westlake Blvd., Suite 201, Westlake Village, CA 91362

Mailing Address

Phone number

(805) 446-4494

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FMB WEALTH MANAGEMENT FORM ADV PART 2 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	853
AUM (Assets Under Management)	$ 507,774,364

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.

Similar Advisors

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jake L. Berman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jake L Berman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FMB WEALTH MANAGEMENT

FMB RETIREMENT SERVICES

Primary Firm SEC Registration

FMB WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/5/2018

Current Firm

FMB WEALTH MANAGEMENT

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FMB WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors