Career
Stephen Berkeley has been Chief Compliance Officer of Loop Capital Asset Management - TCH since January 2022. Stephen Berkeley is not listed as a control person, but directly owns under 5% of the firm. Stephen Berkeley holds a J.D. from Chicago-Kent College of Law and a B.A. from Hamilton College.
Loop Capital Asset Management - TCH LLC is a Miami, FL firm with $10.8B under management, 90 clients and 18 advisers in one office, as of its March 2026 filing.
Stephen Berkeley serves as Chief Compliance Officer and Regulatory Counsel for Loop Capital and its affiliated entities. Before joining Loop Capital in 2008, he practiced securities law and served as an enforcement attorney in Arizona.
No adviser firm registrations are on Stephen Berkeley’s record.
Credentials and registrations
Professional designations
Listed by Loop Capital Asset Management - TCH and the sources below
- Licensed attorney in Illinois and Arizona
- FINRA Series 7, 24, 53, 63, 79 and 87 licenses
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 25 August 2017 |
| Series 53 | Municipal Securities Principal Examination | 24 September 2015 |
| Series 24 | General Securities Principal Examination | 3 March 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 December 2008 |
| Series 7 | General Securities Representative Examination | 20 November 2008 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Stephen Sidney Berkeley
- CRD
- 5616433
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Stephen Berkeley work?
Stephen Berkeley has been Chief Compliance Officer of Loop Capital Asset Management - TCH LLC since January 2022.
Does Stephen Berkeley have a current investment-adviser registration?
Stephen Berkeley has a current broker registration and no current investment-adviser registration.
What exams has Stephen Berkeley passed?
Stephen Berkeley has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 53, Series 87, Series 14, Series 79TO and Series 52TO. The earliest, the Series 7, was passed in November 2008. FINRA credited Stephen Berkeley with the SIE, which began in October 2018.