Jordan S. Berlin
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.
Jordan Stuart Berlin was a registered financial professional .
Jordan is a previously registered financial professional and started their career in finance in 1976. Jordan had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, Series 52TO, SIE, PC, Series 24, Series 9, Series 10, Series 53, Series 4, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2019 - January 28, 2022
WILMINGTON CAPITAL SECURITIES, LLC
November 3, 2016 - November 28, 2018
CITIGROUP GLOBAL MARKETS INC.
November 2, 2016 - November 28, 2018
CITIGROUP GLOBAL MARKETS INC.
January 15, 2015 - November 2, 2016
FSC SECURITIES CORPORATION
December 22, 2014 - November 2, 2016
FSC SECURITIES CORPORATION
February 22, 2013 - January 9, 2015
GILFORD FINANCIAL CORP.
April 17, 2012 - January 9, 2015
GILFORD SECURITIES INCORPORATED
January 19, 2010 - December 20, 2011
ADVANCED EQUITIES, INC.
October 6, 2009 - April 17, 2012
ADVANCED EQUITIES, INC.
May 28, 2008 - August 1, 2008
VALMARK SECURITIES, INC.
April 21, 2006 - March 1, 2007
LM ANDERSON SECURITIES, LLC
October 4, 2002 - June 9, 2004
MATRIX U.S.A., LLC
June 17, 1999 - November 21, 2002
CANACCORD GENUITY SECURITIES LLC
May 14, 1999 - June 7, 1999
CANACCORD GENUITY SECURITIES LLC
March 25, 1982 - June 1, 1999
CIBC WORLD MARKETS CORP.
March 11, 1981 - September 28, 1984
BECKER PARIBAS INCORPORATED
December 26, 1978 - March 20, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 30, 1978 - December 15, 1978
BROADCHILD SECURITIES CORP.
May 4, 1976 - August 27, 1978
UMIC, INC.
Primary Firm SEC Registration
WILMINGTON CAPITAL SECURITIES, LLC
CRD#: 133839 / SEC#: 801-101483, 8-67149
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationPC
Date: 10/1/1978
AMEX Put and Call ExamSeries 8
Date: 2/28/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 4/29/1976
Registered Principal ExaminationCurrent Firm
WILMINGTON CAPITAL SECURITIES, LLC
CRD#: 133839 / SEC#: 801-101483, 8-67149
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILMINGTON CAPITAL GROUP, INC. | PARENT COMPANY | |
| COLUMBO, JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 823524 |
| DORUSHKIN, RONALD BRETT | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 2245185 |
| LEE, DENNIS PETER | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 6008539 |
| MIKES, JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 2458544 |
| VITTOR, GREG TODD | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1864219 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 258,250,437 |
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.
