Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Berman is a financial advisor with Raymond James & Associates, Inc. in Beverly Hills, California. David has been a registered representative since 1984, working for several prominent firms, including Oppenheimer & Co. Inc., Morgan Stanley, and Raymond James Financial Services, Inc. David has a broad range of experience in the financial services industry and is committed to providing personalized service to his clients. David offers a variety of financial services, including investment planning, portfolio management, and retirement planning.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
09/15/2014 - Present
Raymond James & Associates, Inc. (BEVERLY HILLS CA)
CA
05/31/2013 - 09/23/2014
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
CA
06/01/2009 - 04/29/2013
MORGAN STANLEY (BEVERLY HILLS CA)
CA
05/08/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEVERLY HILLS CA)
CA
05/28/2002 - 05/08/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (WOODLANDS HILLS CA)
CA
07/22/1996 - 06/14/2002
ROUND HILL SECURITIES, INC. (ALAMO CA)
NY
05/30/1994 - 07/17/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
01/23/1989 - 06/07/1994
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
07/10/1987 - 12/06/1988
PRUDENTIAL-BACHE SECURITIES INC.
NA
09/11/1984 - 07/25/1987
SUTRO & CO. INCORPORATED
NA
06/20/1984 - 05/14/1985
PAINEWEBBER INCORPORATED
BC
Issued 06/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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