Ronald C. Berger

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CRD#: 719562

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.

Ronald Craig Berger, who also goes by Ronald C Berger, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1980. Ronald had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ronald C Berger

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 15, 2010 - March 2, 2026

NORTHEAST FINANCIAL GROUP, INC.

RIA

CRD#: 122609

NEWTON, PA

Past

July 22, 2009 - April 7, 2025

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

July 17, 2008 - May 7, 2009

NORTHEAST FINANCIAL GROUP, INC.

RIA

CRD#: 122609

ALLENTOWN, PA

Past

July 30, 2002 - July 22, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEWTOWN, PA

Past

November 25, 1980 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 25, 1980 - July 22, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEWTOWN, PA

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".

NORTHEAST FINANCIAL GROUP, INC.

NORTHEAST FINANCIAL GROUP, INC | NORTHEAST FINANCIAL GROUP,INC | NORTHEAST FINANCIAL GROUP, INC.

CRD#: 122609 / SEC#: 801-78187

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Maryland

Registered Investment Advisory firm - (8/12/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (6/26/2013 Terminated)

New York

Registered Investment Advisory firm - (6/25/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/26/2013 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/24/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/19/1980

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORTHEAST FINANCIAL GROUP, INC.

NORTHEAST FINANCIAL GROUP, INC | NORTHEAST FINANCIAL GROUP,INC | NORTHEAST FINANCIAL GROUP, INC.

CRD#: 122609 / SEC#: 801-78187

RIA

Registered Investment Advisory firm - (6/14/2013 Approved)

Maryland

Registered Investment Advisory firm - (8/12/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (6/26/2013 Terminated)

New York

Registered Investment Advisory firm - (6/25/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/26/2013 Terminated)

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Contact information

Main Address

3435 Winchester Road Suite 102, Allentown, PA 18104

Mailing Address

Phone number

(570) 688-9898

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHEAST FINANCIAL GROUP, INC. DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,368
AUM (Assets Under Management)	$ 1,205,206,195

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Ronald C. Berger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

NORTHEAST FINANCIAL GROUP, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NORTHEAST FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/1999

Series 63

Date: 11/18/1983

SIE

Date: 10/1/2018

Series 7

Date: 1/24/2000

Series 6

Date: 11/19/1980

Current Firm

NORTHEAST FINANCIAL GROUP, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHEAST FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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