Steven W. Berglund
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 Wesley Berglund, who also goes by Steve Berglund, was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1986. Steven had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 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
January 17, 2013 - January 20, 2021
PERSHING LLC
January 27, 2010 - October 17, 2011
U.S. BANCORP INVESTMENTS, INC.
January 25, 2010 - October 17, 2011
U.S. BANCORP INVESTMENTS, INC.
July 27, 2009 - August 3, 2009
BANCWEST INVESTMENT SERVICES, INC.
July 24, 2009 - August 3, 2009
BANCWEST INVESTMENT SERVICES, INC.
January 5, 2009 - June 25, 2009
UBS FINANCIAL SERVICES INC.
August 12, 2006 - December 31, 2008
UBS FINANCIAL SERVICES INC.
August 12, 2006 - June 25, 2009
UBS FINANCIAL SERVICES INC.
May 16, 2001 - August 12, 2006
PIPER SANDLER & CO.
August 28, 1992 - August 12, 2006
PIPER SANDLER & CO.
July 23, 1986 - September 11, 1992
UBS FINANCIAL SERVICES INC.
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: 10/30/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
