David T. Berghorst
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.
David Theodore Berghorst, who also goes by Ted Berghorst, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 4 firms and has passed the Series 63, 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
February 11, 2002 - January 23, 2013
THIRD500, LLC
July 9, 1999 - April 25, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 2, 1988 - December 22, 2000
VECTOR SECURITIES INTERNATIONAL, INC.
August 22, 1979 - February 22, 1988
KIDDER, PEABODY & CO. 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
Current Firm
THIRD500, LLC
CRD#: 115542 / SEC#: , 8-53489
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
