Barry S. Berkeley
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.
Barry Stuart Berkeley was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1980. Barry had worked at 14 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2014 - December 4, 2015
FIRST LIBERTIES FINANCIAL
January 13, 2012 - September 4, 2012
COHEN & COMPANY SECURITIES, LLC
September 7, 2010 - December 19, 2011
STERNE, AGEE & LEACH, INC.
December 4, 2007 - August 31, 2010
MORGAN KEEGAN & COMPANY, LLC
April 26, 2006 - December 14, 2007
RBC CAPITAL MARKETS CORPORATION
January 2, 2002 - December 13, 2007
RBC CAPITAL MARKETS, LLC
April 17, 2001 - January 15, 2002
TUCKER ANTHONY INCORPORATED
April 24, 1997 - June 3, 1997
ADVANTAGE CAPITAL CORPORATION
November 11, 1993 - May 16, 1995
CHASE SECURITIES, INC.
November 28, 1990 - November 18, 1993
DAIWA CAPITAL MARKETS AMERICA INC.
December 8, 1989 - August 9, 1990
UBS FINANCIAL SERVICES INC.
August 12, 1988 - December 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 31, 1984 - October 27, 1987
J.P. MORGAN SECURITIES LLC
January 19, 1980 - May 22, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
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: 10/5/1982
Interest Rate Options ExaminationCurrent Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
