Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Kenneth Berman is a registered Investment Advisor Representative and Securities Representative. He is a seasoned financial professional with over 40 years of experience. Bruce currently works at RBC Capital Markets, LLC and has held previous positions with UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC, and Prudential Securities Incorporated. Bruce Kenneth Berman is highly experienced and knowledgeable in a variety of financial areas and holds several industry certifications, including Series 63, 65, 7, 5, 15, and SIE. Bruce Kenneth Berman serves a wide range of clientele, including high-net-worth individuals, corporations, charitable organizations, insurance companies, and pension and profit-sharing plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NJ
05/10/2021 - Present
RBC Capital Markets, LLC (Princeton NJ)
NJ
10/28/2011 - 06/02/2021
UBS FINANCIAL SERVICES INC. (PRINCETON NJ)
NJ
06/01/2009 - 11/07/2011
MORGAN STANLEY SMITH BARNEY (LAWRENCEVILLE NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAWRENCEVILLE NJ)
NJ
09/08/2006 - 04/02/2007
MORGAN STANLEY DW INC. (LAWRENCEVILLE NJ)
NJ
07/01/2003 - 09/11/2006
WACHOVIA SECURITIES, LLC (LAWRENCEVILLE NJ)
NY
06/23/1981 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/04/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 11/19/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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