RB
RB
Robert Berg
41 Years of Experience
Watertown, CT
3 DisclosuresBroker
Robert Berg is a registered investment advisor at Cetera Investment Advisers LLC, based in Watertown, CT, with 41 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
54 Hillcrest Ave, Watertown, CT, 06795
Get directionsHistory
Regulatory History (3)
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Customer Dispute
January 2019Settled
Customer Dispute
April 2018Award / Judgment
Customer Dispute
August 2002Award / Judgment
Other Business Activities
Robert is the owner of Berg Wealth Management, providing investment services through Summit Brokerage. This is a full-time commitment for Robert, managing client investments.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
September 2019 - Present · 6 yrs 8 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
June 2014 - May 2021 · 6 yrs 11 mos
Summit Brokerage Services, INC.Broker
June 2014 - September 2019 · 5 yrs 3 mos
Morgan Stanley
June 2009 - July 2014 · 5 yrs 1 mo
Morgan StanleyBroker
June 2009 - July 2014 · 5 yrs 1 mo
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
August 2006 - April 2007 · 8 mos
Morgan Stanley Dw INC.Broker
August 2006 - April 2007 · 8 mos
Wachovia Securities, LLC
July 2006 - July 2006 · 0 mos
Wachovia Securities, LLCBroker
July 2006 - July 2006 · 0 mos
Morgan Stanley
January 2006 - July 2006 · 6 mos
Morgan Stanley
October 2005 - December 2005 · 2 mos
Morgan Stanley Dw INC.Broker
June 1994 - July 2006 · 12 yrs 1 mo
Prudential Securities IncorporatedBroker
January 1992 - June 1994 · 2 yrs 5 mos
Robert Thomas Securities, INCBroker
February 1988 - January 1992 · 3 yrs 11 mos
Shearson Lehman Brothers INC.Broker
February 1985 - August 1987 · 2 yrs 6 mos
Mclaughlin, Piven, Vogel INC.Broker
December 1983 - February 1985 · 1 yr 2 mos
State Registrations8 states
CTFLGAMENJNYPAVirgin Islands
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.