David B. Bergman

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CRD#: 1221892

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.

David Bruce Bergman, who also goes by Bergie Bergman, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1984. David had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bergie Bergman

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

August 25, 2010 - February 6, 2015

SIGMA INVESTMENT COUNSELORS

RIA

CRD#: 104754

SOUTHFIELD, MI

Past

January 1, 1991 - February 6, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

November 2, 1987 - November 13, 1989

RONEY & CO. L.L.C.

CRD#: 900

Past

August 1, 1986 - December 16, 1987

THE SAXON GROUP, INC.

CRD#: 17611

Past

January 25, 1984 - December 1, 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".

SIGMA INVESTMENT COUNSELORS

SIGMA INVESTMENT COUNSELORS | SIGMA MANAGEMENT SERVICES INC | SIGMA INVESTMENT COUNSELORS, INC.

CRD#: 104754 / SEC#: 801-9529

RIA

Registered Investment Advisory firm - (10/10/1973 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

IAR

Series 65

Date: 7/15/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Current Firm

SIGMA INVESTMENT COUNSELORS

SIGMA INVESTMENT COUNSELORS | SIGMA MANAGEMENT SERVICES INC | SIGMA INVESTMENT COUNSELORS, INC.

CRD#: 104754 / SEC#: 801-9529

RIA

Registered Investment Advisory firm - (10/10/1973 Approved)

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Contact information

Main Address

186 E Main Street Suite 200, Northville, MI 48167

Mailing Address

Phone number

(248) 223-0122

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/29/2025)

Regulatory assets under management

Total Number of Accounts	2,724
AUM (Assets Under Management)	$ 1,947,427,221

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
10/23/2023	Cover Page	Report
12/05/2022	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.

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Firm Stability Insights

David B. Bergman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RONEY & CO. L.L.C.

THE SAXON GROUP, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SIGMA INVESTMENT COUNSELORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2010

Series 63

Date: 2/1/1984

Series 7

Date: 1/21/1984

Current Firm

SIGMA INVESTMENT COUNSELORS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SIGMA INVESTMENT COUNSELORS

TRUST BUT VERIFY

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