Thomas D. Bergen
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.
Thomas Daniel Bergen, who also goes by Thomas Daniel Bergen Jr, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1987. Thomas had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 15, 2004 - December 2, 2010
WORLD GROUP SECURITIES, INC.
September 28, 2004 - May 25, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
December 16, 1999 - December 6, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 10, 1999 - December 6, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 30, 1997 - October 21, 1999
INVESTMENT CENTERS OF AMERICA, INC.
October 11, 1996 - October 14, 1999
INVEST FINANCIAL CORPORATION
August 6, 1996 - August 29, 1996
INVEST FINANCIAL CORPORATION
April 19, 1995 - November 30, 1995
ADVEST, INC.
July 21, 1987 - September 26, 1994
PRUDENTIAL EQUITY GROUP, 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
Series 8
Date: 5/10/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRANSAMERICA FINANCIAL ADVISORS, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
