Michael J. Bergquist
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.
Michael John Bergquist, CFP®, who also goes by Mike Bergquist, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 4 firms and has passed the Series 63, Series 7 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: 1986
Experience
April 19, 2013 - November 29, 2022
WANG FINANCIAL, LLC
November 7, 1989 - June 27, 1994
TITAN/VALUE EQUITIES GROUP, INC.
June 4, 1986 - November 7, 1989
VALUE EQUITIES CORPORATION
June 19, 1985 - June 3, 1986
ASSOCIATED SECURITIES CORP.
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
Current Firm
WANG FINANCIAL, LLC
CRD#: 167570 / SEC#: 801-77980
Contact information
Regulatory assets under management
| Total Number of Accounts | 120 |
| AUM (Assets Under Management) | $ 66,318,243 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2022 |
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.
