Marc J. Berman
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.
Marc Jay Berman was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1979. Marc had worked at 14 firms and has passed the Series 63, Series 5, Series 15, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 1995 - March 9, 1995
FORTA FINANCIAL GROUP, INC.
August 25, 1994 - November 2, 1994
PACIFIC CAPITAL PARTNERS, INC.
April 11, 1990 - May 20, 1993
ARAGON FINANCIAL SERVICES, INC.
March 31, 1989 - January 9, 1990
MUTUAL SERVICE CORPORATION
July 20, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
February 26, 1988 - June 1, 1988
KORN, WOMACK, STERN AND ASSOCIATES, INC.
November 17, 1986 - January 28, 1987
KORN, WOMACK, STERN AND ASSOCIATES, INC.
April 2, 1986 - November 3, 1986
BROWN & HAWK, INC.
January 24, 1986 - February 24, 1986
BRADSTREET CAPITAL, INC.
May 22, 1984 - August 26, 1985
GENERAL AMERICAN SECURITIES, INC.
February 7, 1984 - May 22, 1984
RICHEY, FRANKEL & COMPANY
December 30, 1981 - October 17, 1983
CITIGROUP GLOBAL MARKETS INC.
August 5, 1981 - December 23, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
November 10, 1980 - June 19, 1981
UBS FINANCIAL SERVICES INC.
February 26, 1979 - December 17, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 5/31/1983
Interest Rate Options ExaminationSeries 15
Date: 5/25/1983
Foreign Currency Options ExaminationCurrent Firm
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
Red Flags
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