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CFP

Mike Berman

Wells Fargo Advisors
34 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Mike Berman is a CFP-designated registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 34 years of industry experience. Mike is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

180 Madison Ave, New York, NY, 10016

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2002
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
January 2020 - Present · 6 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Morgan Stanley
May 2011 - February 2020 · 8 yrs 9 mos
Morgan StanleyBroker
May 2011 - February 2020 · 8 yrs 9 mos
Chase Investment Services CORP.
August 1997 - May 2011 · 13 yrs 9 mos
Chase Investment Services CORP.Broker
September 1996 - May 2011 · 14 yrs 8 mos
Chemical Investment Services CORP.Broker
August 1994 - September 1996 · 2 yrs 1 mo
Liberty Securities CorporationBroker
April 1994 - August 1994 · 4 mos
Citicorp Investment ServicesBroker
April 1993 - April 1994 · 1 yr
Gruntal & CO. IncorporatedBroker
June 1992 - March 1993 · 9 mos
Lehman Brothers INC.Broker
January 1992 - June 1992 · 5 mos
State Registrations18 states
CACOCTFLIDINKSNCNHNJNYORPAPRSCTXVAWY
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.
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