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Nicholas A Berman

Raymond James & Associates, Inc.

Beverly Hills, CA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-27
CA RA APPROVED 2024-09-04
  • TX RA
    APPROVED
    Since 2026-07-27
  • CA RA
    APPROVED
    Since 2024-09-04

Branch Locations

9595 Wilshire Blvd. Suite 801 And 200, Beverly Hills, CA 90212 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Linkedin New York NY 09/2013 01/2021
Treasury Prime Los Angeles CA 01/2021 12/2022
Tropic Los Angeles CA 01/2023 06/2024
Westside Financial Los Angeles CA 08/2023 06/2024
Raymond James & Associates, Inc. Beverly Hills CA 06/2024 Present
  • 09/2013 → 01/2021
    Linkedin
    New York, NY
  • 01/2021 → 12/2022
    Treasury Prime
    Los Angeles, CA
  • 01/2023 → 06/2024
    Tropic
    Los Angeles, CA
  • 08/2023 → 06/2024
    Westside Financial
    Los Angeles, CA
  • 06/2024 → Present
    Raymond James & Associates, Inc.
    Beverly Hills, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-31
  • S66 Uniform Combined State Law Examination
    2024-08-31
Other Names
  • Nicholas Andrew Berman

View on SEC IAPD

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