WB
William R. Bergstrom
FOCUS FINANCIAL
Minneapolis, MN 55413
Some features on this profile are disabled
CRD#: 1296561
WB
Professional summary
William Robert Bergstrom, CFP®, who also goes by Bill Bergstrom, is a registered financial advisor currently at FOCUS FINANCIAL located in Minneapolis, Minnesota and OSAIC WEALTH, INC. located in Minneapolis, Minnesota.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. William has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes
Aliases
Bill Bergstrom
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.
1) FOCUS FINANCIAL FOCUS FINANCIAL POSITION: insurance/e/o NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/1994 ADDRESS: 1300 Godward Street NE, #5500, Minneapolis MN 55413, United States DESCRIPTION: reviewing and replacing insurance contracts through a financial planning process 2) FOCUS FINANCIAL NETWORK INC. POSITION: Executive Officer NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1994 ADDRESS: 1300 Godward Street NE, Suite 5500, Mpls MN 55413, United States DESCRIPTION: I am an owner of Focus Financial Network Inc. 3) BFG1 POSITION: President NATURE: sub chapter S INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/15/2018 ADDRESS: 1300 Godward ST NE, #5500, Minneapolis MN 55413, United States DESCRIPTION: This entity was created to help facilitate my eventual succession plan 4) BERGSTROM FINANCIAL GROUP LLC POSITION: President NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 200 START DATE: 02/15/2018 ADDRESS: 1300 Godward ST NE, #5500, Minneapolis MN 55413, United States DESCRIPTION: This is entity was created to help facilitate my eventual succession plan. 5) FOCUS FINANCIAL NETWORK POSITION: Executive Officer NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 01/01/1994 ADDRESS: 1300 Godward Street NE, Suite 5500, Mpls MN 55413, United States DESCRIPTION: I act as a Board member and am a member of the compensation committee as well as a 401k Trustee 6) BILL BERGSTROM POSITION: trustee NATURE: trustee of family testamentary trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/18/2020 ADDRESS: 1300 Godward ST NE, 5500, Mpls MN 55431, United States DESCRIPTION: managing and oversite of funds 7) BFR POSITION: owner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/30/2022 ADDRESS: 12 point Rd, Bayport MN 55003, United States DESCRIPTION: Collect rent on a building 8) FOCUS FINANCIAL NETWORK INC POSITION: Financial advisor/EO NATURE: Registered Investment Adviser - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/1994 ADDRESS: 1300 Godward St NE, #5500, Mpls MN 55413, United States DESCRIPTION: Review track and research investment ideas and products
CRS (Client Relationship Summary) - RIA
Click below to view William Robert Bergstrom's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1992
Experience
Current
February 28, 2005 - Present
FOCUS FINANCIAL
Office #1: 1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413RIA
CRD#: 116140
Minneapolis, MN
Current
April 21, 1995 - Present
OSAIC WEALTH, INC.
Office #1: 1300 Godward St Ne Suite 5500, Minneapolis, MN 55413RIA
BD
CRD#: 23131
Minneapolis, MN
Past
August 5, 1994 - April 21, 1995
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
EDEN PRAIRIE, MN
Past
September 25, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
MINNEAPOLIS, MN
Past
September 25, 1984 - August 15, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 25, 1984 - August 15, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/18/2004)
RR
Arizona(7/26/1995)
RR
Arkansas(3/6/2007)
RR
California(5/21/1996)
RR
Colorado(9/8/2010)
RR
Florida(11/8/1995)
RR
Georgia(8/2/2006)
RR
Idaho(6/21/2012)
RR
Illinois(6/29/1995)
RR
Indiana(9/29/2021)
RR
Iowa(7/1/2009)
RR
Kansas(4/7/2017)
RR
Kentucky(11/27/2023)
IAR
Louisiana(3/9/2018)
RR
Maryland(9/13/2022)
RR
Massachusetts(6/1/2004)
RR
Michigan(10/8/2021)
RR
Minnesota(4/21/1995)
IAR
Minnesota(12/9/2013)
RR
Montana(6/7/2016)
RR
Nebraska(11/7/2023)
RR
Nevada(7/14/2020)
RR
New Jersey(9/15/2020)
RR
New Mexico(2/24/2012)
RR
New York(5/26/2017)
RR
North Carolina(3/21/2022)
RR
North Dakota(1/6/2005)
RR
Ohio(3/22/1996)
RR
Oregon(6/21/2012)
RR
Pennsylvania(2/27/2008)
RR
South Carolina(10/30/2020)
RR
South Dakota(2/1/2019)
RR
Texas(7/1/1997)
IAR
Texas(8/27/2005)
RR
Vermont(1/24/2020)
RR
Virginia(2/24/2011)
RR
Washington(2/21/2012)
RR
West Virginia(1/31/2023)
RR
Wisconsin(7/2/1997)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FOCUS FINANCIAL
AFC FINANCIAL ADVISORY GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
CRD#: 116140 / SEC#: 801-71117
RIA
Registered Investment Advisory firm - (3/2/2010 Approved)Arizona
Registered Investment Advisory firm - (3/5/2010 Terminated)California
Registered Investment Advisory firm - (3/8/2010 Terminated)Colorado
Registered Investment Advisory firm - (3/12/2010 Terminated)Florida
Registered Investment Advisory firm - (3/5/2010 Terminated)Georgia
Registered Investment Advisory firm - (3/5/2010 Terminated)Illinois
Registered Investment Advisory firm - (3/2/2010 Terminated)Indiana
Registered Investment Advisory firm - (3/9/2010 Terminated)Iowa
Registered Investment Advisory firm - (3/5/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (3/24/2010 Terminated)Minnesota
Registered Investment Advisory firm - (3/8/2010 Terminated)Missouri
Registered Investment Advisory firm - (3/5/2010 Terminated)Nebraska
Registered Investment Advisory firm - (3/12/2010 Terminated)New Jersey
Registered Investment Advisory firm - (3/5/2010 Terminated)New York
Registered Investment Advisory firm - (3/5/2010 Terminated)North Carolina
Registered Investment Advisory firm - (3/5/2010 Terminated)North Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Ohio
Registered Investment Advisory firm - (3/5/2010 Terminated)Oregon
Registered Investment Advisory firm - (3/5/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/31/2010 Terminated)South Dakota
Registered Investment Advisory firm - (3/5/2010 Terminated)Texas
Registered Investment Advisory firm - (3/5/2010 Terminated)Washington
Registered Investment Advisory firm - (3/5/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (3/5/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413
Mailing Address
Phone number
(651) 631-8166
Established
Firm type
Fiscal year end
# of Employees
172
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 26,057 |
| AUM (Assets Under Management) | $ 6,262,663,508 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 |
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.
