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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2026-01-16 |
| CA | RA | APPROVED | 2026-01-14 |
| TX | RA | APPROVED | 2026-01-14 |
Branch Locations
2461 Hampton Rd, Henderson, NV 89052 • United States
520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States
Henderson, NV • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Newport Beach | CA | 01/2016 | 01/2026 |
| Bank Of America, N.A. | Newport Beach | CA | 02/2016 | 01/2026 |
| Wells Fargo Clearing Services, Llc | Newport Beach | CA | 01/2026 | Present |
Status: APPRVD I*994299 For profit or not for profit: Entity For Profit Name of outside business organization: Louis and Dianne Berlin Rev Tr u/a dtd 04/20/2006 Investment related: N Address of business: Henderson, Nevada, 89044 Nature of business: ["General Partnership"] Position, title, association: ["Owner"], Start date of relationship: 9/14/2022 Number of hours devoted: 10 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , The purpose of this request for permission is the purchase of a Condo that is being built in Nevada. RENTAL PROPERTY-421; INV RELATED;NEW YORK CITY,NY; RENTAL PROPERTY;100% OWNERSHIP; START DATE: 08/15/2016; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1980-12-11 |
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