Mark P. Bergin

Some features on this profile are disabled

CRD#: 1087556

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mark Paul Bergin was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 6 firms and has passed the Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 15, 2017 - February 20, 2019

KELLEHER FINANCIAL ADVISORS, LLC

RIA

CRD#: 126021

Natick, MA

Past

April 29, 2016 - March 29, 2019

NU PARADIGM INVESTMENT PARTNERS L.L.C.

RIA

CRD#: 170428

BOSTON, MA

Past

January 30, 2007 - June 24, 2013

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

August 21, 1986 - December 19, 1989

SBS DISCOUNT BROKERAGE

CRD#: 17600

Past

November 27, 1984 - September 24, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 19, 1983 - October 31, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/18/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/29/2007

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/27/1983

National Commodity Futures Examination

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Wall Street Suite 804, New York, NY 10005

Mailing Address

Phone number

(212) 709-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELLEHER FINANCIAL ADVISORS FORM ADV PART 2A 04.08.2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 1,025,582,365

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2024	Cover Page	Report
10/25/2023	Cover Page	Report
02/28/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark P. Bergin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NU PARADIGM INVESTMENT PARTNERS L.L.C.

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

SBS DISCOUNT BROKERAGE

MORGAN STANLEY DW INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

KELLEHER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/2007

Series 7

Date: 1/29/2007

Series 3

Date: 1/27/1983

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KELLEHER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors