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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

ROBERT EUGENE BERG

Advisor at CETERA INVESTMENT ADVISERS LLC

WATERTOWN, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Jan 14, 1984
First registration: Oct 19, 2005
Dual registered: yes, broker-dealer
Other names: BOB BERG|ROBERT E BERG
IAPD individual key: 1218879

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	WATERTOWN, CT	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jun 6, 2014	May 20, 2021	no	DANBURY, CT\|SOUTHBURY, CT\|WATERTOWN, CT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 2, 2014	no	Ridgefield, CT	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	RIDGEFIELD, CT	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 11, 2006	Apr 2, 2007	no	DANBURY, CT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 13, 2006	Jul 18, 2006	no	PURCHASE, NY	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 19, 2005	Jul 11, 2006	no	DANBURY, CT\|MT KISCO, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
MORGAN STANLEY	SUMMIT FINANCIAL GROUP INC	Jul 2, 2014	Jun 6, 2014	-26	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
WELLS FARGO ADVISORS	MORGAN STANLEY DW INC.	Jul 18, 2006	Aug 11, 2006	24	Firm change	Other
MORGAN STANLEY DW INC.	WELLS FARGO ADVISORS	Jul 11, 2006	Jul 13, 2006	2	Firm change	Other

Relationships

Registered with (6)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jun 6, 2014 to May 20, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 2, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 11, 2006 to Apr 2, 2007factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2006 to Jul 18, 2006factForm ADV

Dated events

No dated event names this entity yet.