Teresa W. Bergstrom
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.
Teresa Whitfield Bergstrom, who also goes by Teri Bergstrom, Teresa W Vogler, Teresa Whitfield Vogler, Teresa Yvonne Whitfield, Teresa Whitfield, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1983. Teresa had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2012 - June 4, 2015
B.B. GRAHAM & COMPANY, INC.
January 25, 2012 - May 26, 2015
PER STIRLING CAPITAL MANAGEMENT, LLC
May 25, 2006 - June 17, 2015
TERI W. BERGSTROM, CLU, LLC
April 16, 1999 - May 7, 2007
SECURITIES AMERICA, INC.
November 29, 1996 - January 8, 1998
EMPOWER FINANCIAL SERVICES, INC.
April 24, 1995 - November 29, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
May 27, 1994 - May 28, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 27, 1994 - May 28, 1999
OSAIC FA, INC.
October 15, 1993 - June 14, 1994
VOYA FINANCIAL PARTNERS, LLC
April 24, 1990 - October 15, 1993
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 3/4/1978
Non-Member General Securities ExaminationCurrent Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
