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Detailed Report
BERTON IRA GOLDSTEIN
CRD#: 1911561
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 8150 MCCORMICK BLVD
STE 124
SKOKIE, IL 60076
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 8150 MCCORMICK BLVD
STE 124
SKOKIE, IL 60076
Registration History
19901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2005 - Present (20 years)BCETERA FINANCIAL SPECIALISTS LLC (CRD# 10358)2004 - Present (20 years)BHOCHMAN & BAKER SECURITIES, INC. (CRD# 19949)1989 - 2004 (15 years)
License(s)

State Registrations

B
Arizona 9/20/2024
B
Maryland 9/20/2024
B
Arkansas 8/7/2023
B
Missouri 2/11/2019
B
California 6/30/2004
B
Nevada 4/17/2008
B
Colorado 6/30/2004
B
New Jersey 6/30/2004
B
District of Columbia 2/12/2019
B
New York 2/8/2023
B
Florida 7/2/2004
B
South Carolina 1/3/2023
B
Illinois 6/30/2004
B
Wisconsin 4/27/2005
IA
Illinois 3/24/2005

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
8150 MCCORMICK BLVD STE 124, SKOKIE, IL 60076
Registered with this firm since 3/24/2005
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
8150 MCCORMICK BLVD STE 124, SKOKIE, IL 60076
Registered with this firm since 6/30/2004
Previous Registration(s)
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B
 06/20/1989 - 06/30/2004 HOCHMAN & BAKER SECURITIES, INC. (CRD#:19949) STAMFORD, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.