Marilyn R. Bergen
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.
Marilyn Ruth Bergen, CFP®, who also goes by Marilyn Ruth Canfield, Marilyn Ruth Hopp, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1983. Marilyn had worked at 7 firms and has passed the Series 63, Series 7, Series 6 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
Start date: 1987
Experience
December 2, 2011 - January 9, 2019
CONFLUENCE WEALTH MANAGEMENT LLC
October 3, 1996 - November 30, 2011
CMC ADVISERS, LLC
March 26, 1991 - May 20, 1993
PACIFIC HARBOR SECURITIES, INC.
July 19, 1989 - April 1, 1991
PAN-WEST CAPITAL CORP.
April 21, 1987 - July 19, 1989
PFG SECURITIES, INC.
December 7, 1983 - May 13, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
September 14, 1983 - December 27, 1983
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CONFLUENCE WEALTH MANAGEMENT LLC
CRD#: 107810 / SEC#: 801-56974
Contact information
Red Flags
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