Steven L. Bergstrom
Professional summary
Steven Lewis Bergstrom is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Las Vegas, Nevada.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Lewis Bergstrom's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2015 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6045 S Fort Apache Ste. 120, Las Vegas, NV 89148Office #2: 4314 W. Cheyenne Ave, North Las Vegas, NV 89032May 11, 2012 - November 13, 2015
TRICOR FINANCIAL, LLC
November 4, 2009 - May 14, 2012
SUNSET FINANCIAL SERVICES, INC.
June 24, 2008 - November 5, 2009
INSPHERE SECURITIES, INC.
December 10, 2003 - June 18, 2008
INVESTMENT PLANNERS, INC.
February 18, 2003 - October 31, 2003
INTERVEST INTERNATIONAL EQUITIES CORPORATION
September 19, 2000 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
February 18, 2000 - August 8, 2000
LIBERTY LIFE SECURITIES LLC
May 14, 1996 - December 31, 1999
WOODBURY 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
(6/19/2023)
(12/7/2015)
(9/30/2016)
Exams
FINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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