Michael Berger has been Chief Compliance Officer of Optas since May 2019, is not listed as a control person, but directly owns under 5% of the firm.
Optas, LLC is a Dripping Springs, TX firm with $882M under management, 137 clients and 5 advisers in one office, as of its March 2026 filing.
Michael Berger’s longest registration is the current one, 7 years at Optas since 2019. Before joining Optas in 2019, Michael Berger was registered through Wells Fargo Clearing Services, LLC.
- Optas, LLCCurrent– present · 7 yearsDripping Springs, TX · Adviser representative · Firm CRD 299965
- Wells Fargo Clearing Services, LLC– · 4 yearsSan Francisco, CA · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Michael Berger is registered as an investment adviser representative in 2 states. Each was approved in May 2019.
- CaliforniaSince 7 May 2019
- TexasSince 3 May 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 September 2014 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 October 2010 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 31 August 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 October 2002 |
| Series 7 | General Securities Representative Examination | 23 August 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2708511
- Firm
- Optas · CRD 299965
- Role
- Chief Compliance Officer
- Office
- 15431 FITZHUGH RD, SUITE 203, Dripping Springs, TX 78620
- Registration
- Investment adviser registration
- In the industry since
- December 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Berger work?
Michael Berger has been Chief Compliance Officer of Optas, LLC since May 2019.
Is Michael Berger a financial advisor?
Yes. Michael Berger has a current investment-adviser registration in California and Texas, through Optas since May 2019.
How many years of experience does Michael Berger have?
Michael Berger has 24 years in the financial industry, since December 2001, across 2 adviser firms.
What exams has Michael Berger passed?
Michael Berger has passed 5 licensing exams: the Series 7, Series 63, Series 9, Series 10 and Series 65. The earliest, the Series 7, was passed in August 2000. FINRA credited Michael Berger with the SIE, which began in October 2018.
Where is Michael Berger based?
Michael Berger’s registered office is in Dripping Springs, TX.
Is Michael Berger registered with FINRA?
No. Michael Berger has no current broker registration.
How can I verify Michael Berger’s record?
Search CRD 2708511 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Berger’s full registration record.