Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Berger is a financial advisor in Los Angeles, California. David is an active advisor and has been in the industry since 1998. David has a broad array of licenses and registrations, including Series 63, 66, 7, 9, 10 and 24. David is registered with J.P. Morgan Securities LLC and holds registrations in multiple states. David has previously worked for MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, U.S. BANCORP INVESTMENTS, INC., and COLUMBIA MANAGEMENT DISTRIBUTORS, INC..
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/22/2022 - Present
J.p. Morgan Securities LLC (LOS ANGELES CA)
CA
01/07/2019 - 08/31/2022
U.S. BANCORP INVESTMENTS, INC. (LOS ANGELES CA)
CA
03/01/2010 - 03/06/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
NY
03/24/2009 - 03/01/2010
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (NEW YORK NY)
NJ
08/13/1997 - 03/24/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PLAINSBORO NJ)
BOTH
Issued 05/29/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/30/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/22/2005
Series 24 - General Securities Principal Examination
BC
Issued 03/06/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1997
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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