Gary D. Berman
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.
Gary Dean Berman, who also goes by Gary D Berman, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1980. Gary had worked at 10 firms and has passed the Series 63, Series 55, 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
January 15, 2008 - September 4, 2013
CLEARVIEW TRADING ADVISORS, INC.
June 12, 2007 - January 14, 2008
TOUCHPOINT SECURITIES CORP.
February 8, 2000 - October 4, 2006
KNIGHT CAPITAL AMERICAS, L.P.
February 18, 1999 - October 4, 2006
KNIGHT CAPITAL MARKETS LLC
June 8, 1995 - November 3, 1997
GLOBAL PARTNERS SECURITIES INC.
December 7, 1994 - May 25, 1995
COWEN SECURITIES LLC
April 29, 1993 - August 23, 1994
TRIMARK SECURITIES, INC.
April 26, 1988 - July 23, 1992
CITICORP SECURITIES SERVICES, INC.
March 13, 1984 - April 4, 1988
FINANCIAL CLEARING & SERVICES CORPORATION
September 23, 1980 - June 10, 1983
MOSELEY SECURITIES CORPORATION
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 55
Date: 5/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
CLEARVIEW TRADING ADVISORS, INC.
CRD#: 142873 / SEC#: , 8-67501
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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