Michael S. Berardi
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.
Michael Stewart Berardi was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2002 - August 1, 2008
GRODSKY ASSOCIATES, INC.
September 29, 1989 - December 14, 2001
THE INVESTMENT CENTER, INC.
March 24, 1987 - October 7, 1989
G. K. SCOTT & CO., INC.
April 30, 1985 - April 13, 1987
UBS FINANCIAL SERVICES INC.
May 30, 1984 - May 20, 1985
THOMSON MCKINNON SECURITIES INC.
December 20, 1983 - May 26, 1984
MOORE & SCHLEY, CAMERON & CO.
December 12, 1983 - May 24, 1984
GMS GROUP
April 30, 1982 - December 9, 1983
MARKS, ALLEN & CO.
April 15, 1980 - April 26, 1982
EMPIRE NATIONAL SECURITIES, INCORPORATED
December 28, 1977 - March 5, 1979
LEHMAN BROTHERS INC.
June 1, 1977 - January 19, 1978
ADVEST, INC.
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
Current Firm
GRODSKY ASSOCIATES, INC.
CRD#: 29148 / SEC#: , 8-44131
Contact information
FINRA licenses (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRODSKY, SHELDON | PRESIDENT, TREASURER, SECRETARY, CHIEF EXECUTIVE OFFICER, CFO, ROP, SROP, CROP, CHIEF COMPLIANCE OFFICER, FINOP | 870498 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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