Richard Berman

Richard Berman Email and Phone Number

Seasoned Finance Pro of 20+ years; Operations, Client Support/Onboarding/AML, Risk Management, Trading & Sales.
Richard Berman's Location
Brooklyn, New York, United States, United States
About Richard Berman

Richard Berman is a results-driven & customer focused finance professional with over 20 years of industry experience including operations, client support & onboarding, risk management, market surveillance & analysis, trading and sales experience. Core Qualifications: FINRA Series 24, 57, 4, 7, SIE

Richard Berman's Current Company Details

Seasoned Finance Pro of 20+ years; Operations, Client Support/Onboarding/AML, Risk Management, Trading & Sales.
Richard Berman Work Experience Details
  • Sagetrader, Llc
    Principal, Client Services & Operations
    Sagetrader, Llc Apr 2021 - May 2024
    Brooklyn, New York, United States
    Responsible for client success & onboarding, risk management, pre & post-trade surveillance analytics for possible manipulative behavior, composed monthly client invoices by aggregating data, maintained ongoing AML checks, and monitored HTB, ETB & PTP symbol lists to adhere to Reg SHO.
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  • R H Berman Llc
    Founder
    R H Berman Llc Nov 2017 - Apr 2024
    New York, New York
    Investor/connector/cap intro in emerging growth industries including technology, cryptocurrency, hemp/cannabis, and entertainment. Richard also produced and hosted blockchain/cryptocurrency networking events headlined by leading industry speakers.
  • Saxon And Parole Restaurant
    Mixologist
    Saxon And Parole Restaurant Aug 2011 - Mar 2020
    New York, Ny
    Recruited by Naren Young, internationally renowned mixologist, to launch ambitious bar program at Saxon & Parole which earned "World's Greatest Restaurant Bar" (2013) and "Best American Restaurant Bar" (2016). Also maximized brand experience through music programming, cocktail creation, employee training and charismatic interaction with guests.
  • T3 Trading Group, Llc, Cyrus Capital, Ellis Island Trading, And Next Capital
    Proprietary Equity Trader
    T3 Trading Group, Llc, Cyrus Capital, Ellis Island Trading, And Next Capital Mar 2000 - Jul 2010
    New York, Ny
    Traded equities, ETF's and futures using technical analysis and momentum-based strategies at four trading firms.
  • Raymond James Financial, Prime Charter Ltd., Ladenburg Thalmann, D. Blech & Co.
    Stock Broker
    Raymond James Financial, Prime Charter Ltd., Ladenburg Thalmann, D. Blech & Co. Apr 1993 - Jan 1999
    New York, Ny & Miami, Fl
    Prospected new accounts and actively managed existing accounts with stocks, bonds and options for high net worth individuals and institutions at four brokerage firms.

Richard Berman Education Details

Frequently Asked Questions about Richard Berman

What is Richard Berman's role at the current company?

Richard Berman's current role is Seasoned Finance Pro of 20+ years; Operations, Client Support/Onboarding/AML, Risk Management, Trading & Sales..

What schools did Richard Berman attend?

Richard Berman attended University At Albany, Suny.

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