IB
Isaac J. Berg
HOWARD BAILEY SECURITIES
Fort Wayne, IN 46804
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CRD#: 7517046
IB
Professional summary
Isaac James Berg is a registered financial advisor currently at HOWARD BAILEY SECURITIES, LLC located in Fort Wayne, Indiana.
Isaac is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Isaac has worked at 1 firm 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.
CRS (Client Relationship Summary) - RIA
Click below to view Isaac James Berg's 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®
NoneExperience
Current
March 11, 2022 - Present
HOWARD BAILEY SECURITIES, LLC
Office #1: 5916 Covington Rd, Fort Wayne, IN 46804RIA
CRD#: 282712
Fort Wayne, IN
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".
HB
HOWARD BAILEY SECURITIES, LLC
HOWARD BAILEY FINANCIAL, INC. | HOWARD BAILEY SECURITIES, LLC
CRD#: 282712 / SEC#: 801-114636
RIA
Registered Investment Advisory firm - (1/30/2019 Approved)Arizona
Registered Investment Advisory firm - (2/15/2019 Terminated)Florida
Registered Investment Advisory firm - (2/15/2019 Terminated)Indiana
Registered Investment Advisory firm - (2/18/2019 Terminated)Michigan
Registered Investment Advisory firm - (2/19/2019 Terminated)North Carolina
Registered Investment Advisory firm - (2/6/2017 Terminated)Ohio
Registered Investment Advisory firm - (2/20/2019 Terminated)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
Indiana(3/11/2022)
IAR
Ohio(6/30/2023)
Current Firm
HB
HOWARD BAILEY SECURITIES, LLC
HOWARD BAILEY FINANCIAL, INC. | HOWARD BAILEY SECURITIES, LLC
CRD#: 282712 / SEC#: 801-114636
RIA
Registered Investment Advisory firm - (1/30/2019 Approved)Arizona
Registered Investment Advisory firm - (2/15/2019 Terminated)Florida
Registered Investment Advisory firm - (2/15/2019 Terminated)Indiana
Registered Investment Advisory firm - (2/18/2019 Terminated)Michigan
Registered Investment Advisory firm - (2/19/2019 Terminated)North Carolina
Registered Investment Advisory firm - (2/6/2017 Terminated)Ohio
Registered Investment Advisory firm - (2/20/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5916 Covington Rd, Fort Wayne, IN 46804
Mailing Address
Phone number
(260) 482-9559
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,793 |
| AUM (Assets Under Management) | $ 484,882,228 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
