Steven N. Bergman
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.
Steven Norman Bergman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2021 - June 8, 2023
PROFOR ADVISORS
May 7, 2013 - August 14, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
March 25, 2011 - September 4, 2012
SEAPORT GLOBAL SECURITIES LLC
April 21, 2009 - March 28, 2011
BTIG, LLC
September 18, 2008 - December 31, 2008
J.P. MORGAN CLEARING CORP.
March 8, 2007 - April 23, 2009
J.P. MORGAN SECURITIES LLC
July 2, 1986 - September 29, 2005
J.P. MORGAN SECURITIES LLC
June 18, 1985 - July 25, 1986
KMS CORPORATE BROKERS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PROFOR ADVISORS
CRD#: 136084 / SEC#: , 8-66974
Contact information
FINRA licenses (30 States and Territories)
Documents
Red Flags
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