Hilary Guy Bergman
Professional Summary
Hilary Guy Bergman, who also goes by Hilary G Bergman, Hilary Bergman, is a registered financial advisor currently at PELION INVESTMENT ADVISORS, INC. located in Tampa, Florida and FIRST LIBERTIES FINANCIAL located in Tampa, Florida. Hilary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Hilary has worked at 11 firms and has passed the Series 66, Series 63, Series 57TO, Series 52TO, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Hilary G Bergman, Hilary Bergman
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
PELION INVESTMENT ADVISORS, INC.
Contact Information
Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602Phone Number
(917) 639-5451# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
43AUM (Assets Under Management)
$61,628,872Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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State Registrations and Notice Filings
(6/21/2010)
(8/18/2010)
(6/7/2010)
(9/9/2010)
(4/1/2010)
(4/22/2010)
(5/12/2010)
(11/23/2016)
(8/24/2010)
(3/18/2010)
(11/23/2016)
(11/17/2022)
(2/24/2021)
(4/7/2010)
(6/24/2010)
(4/12/2010)
(11/23/2016)
(6/4/2010)
(11/23/2016)
(2/24/2021)
(4/22/2010)
(8/19/2010)
(5/14/2010)
(3/19/2010)
(11/23/2016)
(5/24/2010)
(6/16/2010)
(5/27/2010)
(8/4/2010)
(4/15/2016)
(3/18/2010)
(2/24/2021)
(3/18/2010)
(5/27/2010)
(5/24/2010)
(6/24/2010)
(5/25/2010)
(6/23/2010)
(4/6/2010)
(3/2/2021)
(8/25/2010)
(7/9/2010)
(4/22/2010)
(3/18/2013)
(7/9/2010)
(6/21/2021)
(5/19/2010)
(2/9/2019)
(11/17/2022)
(5/18/2010)
(5/18/2010)
(8/31/2010)
(4/19/2010)
(1/15/2019)
(2/24/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Oct 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Hilary Guy Bergman's CRS (Customer Relationship Summary).
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