Christian De Berardinis: Aperture Advisor Suspended by FINRA

West Palm Beach, Florida financial advisor Christian De Berardinis (CRD# 4312327) was recently suspended by FINRA in connection with alleged unapproved private offerings. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Morgan Stanley broker is currently registered as an investment advisor with Aperture Advisors.

Mr. De Berardinis’ BrokerCheck report discloses FINRA’s recent disciplinary action against him. Filed in September 2024, it describes findings that he “participated in private offerings of securities that raised $2.45 million from customers of his member firm without providing prior written notice to or receiving approval from his firm.” The offering in question involved a dairy company to whose CEO he introduced the firm customer, according to FINRA. He also allegedly facilitated their investments by providing information about it and in some cases by assisting with paperwork and/or transferring funds from their firm accounts to the dairy company. He allegedly “received $22,500 from the company in referral fees,” FINRA found, and made false responses on firm questionnaires about whether he engaged in private securities transactions. In connection with these findings, FINRA suspended him for 24 months and ordered him to pay a fine of $22,500.

Another disclosure on his BrokerCheck report concerns an investor complaint against him. Filed in 2023, it alleged that as a representative of Morgan Stanley, he “solicited outside investment opportunities not authorized from the firm.” In 2024 the complaint reached a settlement of $1.35 million.

According to the Financial Industry Regulatory Authority and Securities and Exchange Commission, Christian De Berardinis holds 22 years of securities industry experience. Based in West Palm Beach, Florida, he has been registered as an investment advisor with Aperture Advisors since 2024. His past registrations include Morgan Stanley, JP Morgan Securities, Phoenix Derivatives, Oppenheimer & Company, Citigroup Global Markets, and Banc of America Securities. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California and Florida. (Information current as of September 21, 2024.)

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