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Galen Berkowitz

PANTEK SECURITIES LLC
San Diego, CA 92121
Some features on this profile are disabled
CRD#: 7326863
GB

Professional summary

Galen Berkowitz is a registered financial professional currently at PANTEK SECURITIES LLC located in San Diego, California.

Galen is registered as a RR (Registered Representative) and started their career in finance in 2021. Galen has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Galen Berkowitz'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

April 2, 2021 - Present

PANTEK SECURITIES LLC

Office #1: 5752 Oberlin Drive, Suite 212, San Diego, CA 92121
BD
CRD#: 302091
San Diego, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/2/2021
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 12/22/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PANTEK SECURITIES LLC
PANTEK PARTNERS ADVISORS LLC | PANTEK SECURITIES LLC | PANTEK PARTNERS ADVISORS, LLC.

CRD#: 302091 / SEC#: , 8-70345

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
954 Ave Ponce De Leon Suite #403b, San Juan, PR 00907
Mailing Address
954 Ave Ponce De Leon Suite #403, San Juan, PR 00907
Phone number
(858) 605-1607
Established
Puerto Rico since 02/14/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BELL, JOHN EDWARDPRESIDENT/CEO/CCO/MANAGING MEMBER4106566
AGERTON, DEBORAH LYNNFINOP/PFO/POO4460597

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.

Company Information

PANTEK SECURITIES LLC

CRD#: 302091San Diego, CA 92121

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