Richard BermanCRD Number: 1920999
Current Firm: Oppenheimer & Company Inc.
Richard Berman (CRD# 1920999) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Stamford, CT and has over 28 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|Oppenheimer & Company Inc.||Stamford, CT||Dec 2006 - Current||11|
|Wachovia Securities, LLC||Greenwich, CT||Jun 2003 - Dec 2006||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1989|
|S65||NASAA Investment Advisors Law Examination||Mar 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management9,080MILLIONS
Total Number of Accounts19,246ACCOUNTS
Average Account Value$471,802
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV