MB
Michael J. Bergin
CETERA INVESTMENT ADVISERS LLC
Eatontown, NJ 07724
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CRD#: 1393697
MB
Professional summary
Michael John Bergin, who also goes by Mike Bergin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Eatontown, New Jersey and CETERA ADVISORS LLC located in Eatontown, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Bergin
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. NAME OF OTHER BUSINESS: HAVANA DUBLIN CAPITAL, LLC (HDC), INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 05/2002, POSITION/TITLE/RELATIONSHIP: SOLE MANAGING MEMBER, OPERATING MANAGER, APX NUMBER OF HOURS PER WEEK: 10, APX NUMBER OF HOURS DURING TRADING HOURS: 6, BRIEF DESCRIPTION OF DUTIES: MANAGE BRANCH EXPENSES AND PAY SALARIED EMPLOYEES; 2. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: DIGITAL SELF PUBLISHING; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: RESEARCHING VIABLE, IN DEMAND BOOKS TOPICS, CREATE OUTLINES; UTILIZE GHOST WRITERS & OTHER AUTHORS UNDER PEN NAMES, UPLOAD BOOKS TO AMZN FOR PURCHASE; 3. NAME OF OTHER BUSINESS: EATONTOWNADVSIORS.COM, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: WEBSITE ADDRESS, START DATE: 12/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: WEBSITE ADDRESS ONLY NOT DBA:
CRS (Client Relationship Summary) - RIA
Click below to view Michael John Bergin'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®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 442 Highway 35 South Bldg A 1st Floor, Eatontown, NJ 07724RIA
CRD#: 105644
Eatontown, NJ
Current
June 30, 2022 - Present
CETERA ADVISORS LLC
Office #1: 442 Highway 35 South Bldg A 1st Floor, Eatontown, NJ 07724BD
CRD#: 10299
Eatontown, NJ
Past
July 7, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Eatontown, NJ
Past
October 3, 2016 - July 6, 2022
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
EATONTOWN, NJ
Past
April 22, 2015 - December 4, 2015
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
EATONTOWN, NJ
Past
February 25, 2015 - July 6, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
EATONTOWN, NJ
Past
February 27, 2006 - December 15, 2014
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
RED BANK, NJ
Past
June 27, 2005 - February 27, 2006
SALOMON GREY FINANCIAL CORPORATION
BD
CRD#: 43413
DALLAS, TX
Past
September 19, 2000 - June 16, 2005
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
October 12, 1998 - September 20, 2000
THE AGEAN GROUP, INC
BD
CRD#: 30835
BOCA RATON, FL
Past
September 25, 1985 - October 5, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
New Jersey(6/30/2022)
IAR
New Jersey(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Eatontown, NJ 07724TRUST BUT VERIFY
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