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Paul Clifford Berard

DWS Distributors, Inc.

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About Paul Clifford Berard

Paul Clifford Berard is a financial advisor with over 24 years of experience in the financial industry. Paul is currently registered with DWS Distributors, Inc. and has held previous positions with several other firms including MIT Associates, LLC, Northern Trust Securities, Inc., State Street Global Markets, LLC, Morgan Stanley DW Inc., Independent Research Group LLC, OppenheimerFunds Distributor, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company. Paul holds Series 3, 7, 63, 65, and SIE licenses.

Firm Information

Paul Berard is currently registered with DWS Distributors, Inc.. DWS Distributors, Inc. is a corporation formed in September 1994 and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 5 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

51

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Paul Berard’s Registration & Firm History

IL

08/08/2023 - Present

DWS Distributors, Inc. (CHICAGO IL)

CA

05/24/2022 - 10/28/2022

MIT ASSOCIATES, LLC (TIBURON CA)

IL

05/20/2014 - 03/03/2022

NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)

MA

06/20/2006 - 05/07/2014

STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)

NY

07/06/2005 - 05/31/2006

MORGAN STANLEY DW INC. (PURCHASE NY)

NY

07/23/2004 - 06/01/2005

INDEPENDENT RESEARCH GROUP LLC (NEW YORK NY)

NY

02/26/1998 - 02/12/2001

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

MN

05/24/1994 - 02/19/1998

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

05/24/1994 - 02/19/1998

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

IA

Issued 06/02/2017

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/10/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/23/2014

Series 3 - National Commodity Futures Examination

BC

Issued 05/23/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Paul Clifford Berard.
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