Raymond V. Berger
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.
Raymond Vincent Berger, who also goes by Ray Berger, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1977. Raymond had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2015 - December 19, 2017
NEW PINNACLE CAPITAL, LLC
July 17, 2002 - December 31, 2015
PINNACLE CAPITAL SECURITIES, LLC
January 4, 1999 - August 28, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 26, 1996 - March 30, 2015
PINNACLE CAPITAL SECURITIES, LLC
January 31, 1992 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 4, 1990 - February 3, 1992
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1986 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
January 23, 1985 - January 8, 1986
REFCO SECURITIES, LLC
April 14, 1982 - November 13, 1984
CONTISECURITIES, INC.
May 8, 1979 - April 2, 1982
LEHMAN BROTHERS INC.
October 3, 1977 - June 10, 1979
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
NEW PINNACLE CAPITAL, LLC
CRD#: 168992 / SEC#:
Contact information
Red Flags
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