Joseph B. Bergner
Professional summary
Joseph Billups Bergner, who also goes by Joey Bergner, Jospeh Billups Bergner, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Houston, Texas.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 11 firms and has passed the Series 63, Series 52TO, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Billups Bergner's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2017 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: 920 Memorial City Way 11th Floor, Houston, TX, 77024July 1, 1996 - April 1, 2017
COASTAL SECURITIES, INC.
April 21, 1995 - July 1, 1996
GSC SECURITIES, INC.
April 21, 1995 - July 1, 1996
GOVERNMENT SECURITIES CORPORATION
January 12, 1995 - March 23, 1995
H.J. MEYERS & CO., INC.
September 27, 1994 - March 6, 1995
PHOENIX GOVERNMENT INVESTMENTS, INC.
September 12, 1994 - November 28, 1994
TDI, INCORPORATED
November 2, 1992 - January 7, 1993
D.E. FREY & COMPANY, INC.
October 29, 1990 - November 24, 1992
LEHMAN BROTHERS INC.
November 8, 1988 - November 19, 1990
CIBC WORLD MARKETS CORP.
April 7, 1988 - November 29, 1988
LEHMAN BROTHERS INC.
February 23, 1988 - April 7, 1988
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/16/2023)
(4/1/2017)
Exams
Series 52TO
Date: 7/22/2025
Municipal Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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