Alan H Berman

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2020-01-03

CA RA
APPROVED

Since 2020-01-03

Branch Locations

Santa Rosa, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Sagepoint Financial, Inc	Los Angeles	CA	01/2009	01/2020
Lpl Financial	Santa Rosa	CA	01/2020	Present

01/2009 → 01/2020

Sagepoint Financial, Inc

Los Angeles, CA
01/2020 → Present

Lpl Financial

Santa Rosa, CA

Previous Registrations

2008-10-31 → 2020-01-08

Osaic Services, Inc.

Santa Rosa, CA
2005-06-17 → 2008-10-31

American General Securities Incorporated

Houston, TX

Santa Rosa, CA

Santa Rosa, CA

Other Businesses

1)1978 - Non-Variable Insurance - Alan Berman Insurance & Financial Services - 75% - INVESTMENT RELATED - SANTA ROSA, CA 95402 2)1990 - Tax Prep/Accounting/CPA - Alan Berman Insurance & Financial Services - 50% - INVESTMENT RELATED - SANTA ROSA, CA 95402 3)1990 - DBA for LPL Business (entity for LPL business) - Alan Berman Insurance & Financial Services - 50% - INVESTMENT RELATED - SANTA ROSA, CA 95402 4)9/2005 - Other - SIGNED BASEBALL MAGIC - 1% - NOT INVESTEMENT RELATED - SANTA ROSA, CA 95402

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1987-11-13

S63 Uniform Securities Agent State Law Examination

1987-11-13

Designations

View on SEC IAPD