William E. Bergh
Professional summary
William Edward Bergh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, William had worked at 7 firms, which includes LEGACY FINANCIAL SERVICES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., TRANSAMERICA FINANCIAL ADVISORS LLC, SIGNATOR FINANCIAL SERVICES INC., BMA FINANCIAL SERVICES INC., LOCUST STREET SECURITIES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 1996 - May 6, 1999
LEGACY FINANCIAL SERVICES, INC.
April 1, 1996 - June 21, 1996
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 17, 1994 - August 25, 1995
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 6, 1992 - September 3, 1993
SIGNATOR FINANCIAL SERVICES, INC.
December 18, 1990 - February 5, 1991
BMA FINANCIAL SERVICES, INC.
June 9, 1988 - November 29, 1990
LOCUST STREET SECURITIES, INC.
October 1, 1985 - June 13, 1988
PRUCO SECURITIES, LLC.
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
LEGACY FINANCIAL SERVICES, INC.
CRD#: 38697 / SEC#: , 8-48360
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
