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WARREN GEORGE BERGER III
III WARREN GEORGE BERGER, WARREN GEORGE BERGER, WARREN GEORGE III BERGER
CRD#: 1003007
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Investment Adviser
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Previous Broker
SALEM ADVISORY GROUP LLCCRD#: 145697 1332 POST ROAD
SUITE 2A
WELLS, ME 04090
Registration History
1985199019952000200520102015202020252 FIRMS2005 - 2006 (<1 year)IASALEM ADVISORY GROUP LLC (CRD# 145697)2009 - Present (16 years)BH. BECK, INC. (CRD# 1763)2009 - 2015 (6 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2008 - 2008 (<1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2006 - 2007 (1 year)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2005 - 2005 (<1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2003 - 2005 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)1993 - 2002 (9 years)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1990 - 1992 (2 years)BEQUITY SERVICES, INC. (CRD# 265)1981 - 1989 (8 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2002 - 2002 (<1 year)
Disclosure(s)
View By:
4/11/2018
Regulatory
Final
License(s)

State Registrations

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Florida 12/16/2014

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New Hampshire 2/11/2014

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Maine 1/5/2009

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Ohio 4/29/2019

Current Registration(s)
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SALEM ADVISORY GROUP LLC (CRD#:145697)
1332 POST ROAD SUITE 2A, WELLS, ME 04090
Registered with this firm since 1/5/2009

Previous Registration(s)
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01/02/2009 - 12/31/2015 H. BECK, INC. (CRD#:1763) WELLS, ME
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01/17/2008 - 10/20/2008 PARK AVENUE SECURITIES LLC (CRD#:46173) PORTLAND, ME
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10/31/2006 - 11/16/2007 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) PORTLAND, ME
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12/06/2005 - 10/11/2006 METLIFE SECURITIES INC. (CRD#:14251) SOUTH PORTLAND, ME
B
12/06/2005 - 10/11/2006 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) SOUTH PORTLAND, ME
B
01/12/2005 - 12/06/2005 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
B
02/06/2003 - 01/28/2005 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
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07/29/2002 - 12/04/2002 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) NEW ORLEANS, LA
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02/23/1993 - 12/04/2002 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
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09/12/1990 - 12/31/1992 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
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10/16/1981 - 12/31/1989 EQUITY SERVICES, INC. (CRD#:265) MONTPELIER, VT
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.