Peter L. Berg
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.
Peter Louis Berg, who also goes by Pete Berg, Peter L Berg, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1979. Peter had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 1 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
May 6, 2013 - July 22, 2016
PERSHING ADVISOR SOLUTIONS LLC
June 15, 2010 - April 2, 2013
BNY MELLON SECURITIES CORPORATION
September 8, 2009 - April 12, 2010
AMERICAN BEACON PARTNERS, INC.
April 10, 2008 - September 30, 2008
HSBC SECURITIES (USA) INC.
September 20, 2001 - April 4, 2007
CHARLES SCHWAB & CO., INC.
April 7, 1983 - December 31, 1992
NEW ENGLAND SECURITIES
August 31, 1979 - April 8, 1982
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 8/25/1979
Registered Representative ExaminationCurrent Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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