Douglas Berman is a registered investment advisor, based in Naperville, IL, with 26 years of industry experience.
Location
2020 Calamos Court, Naperville, IL, 60563-2787
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Calamos Advisors LLC
March 2013 - Present · 13 yrs 1 mo
Calamos Financial Services LLCBroker
March 2013 - Present · 13 yrs 1 mo
Calamos Financial Services LLC
March 2013 - Present · 13 yrs 1 mo
Previous Registrations
Alps Distributors, INC.Broker
April 2011 - November 2011 · 7 mos
Transamerica Capital, INC.Broker
April 2009 - April 2011 · 2 yrs
Lazard Asset Management Securities LLCBroker
January 2006 - February 2009 · 3 yrs 1 mo
Round Hill Securities, INC.Broker
May 2003 - June 2004 · 1 yr 1 mo
UBS Painewebber INC.
April 2001 - May 2003 · 2 yrs 1 mo
UBS Painewebber INC.Broker
March 2001 - May 2003 · 2 yrs 2 mos
Prudential Securities IncorporatedBroker
December 1996 - April 2001 · 4 yrs 4 mos
State Registrations4 states
FLILNJPR
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.