HB
Hilary G. Bergman
PELION INVESTMENT ADVISORS
TAMPA, FL 33602
Some features on this profile are disabled
CRD#: 1834738
HB
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 99TO, Series 79TO, SIE, Series 55, Series 7, Series 3, Series 24, Series 14, Series 53, Series 27 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hilary G Bergman | Hilary Bergman
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.
Since 10/2004, Mr. Bergman has been CEO of Pelion Financial Group ("PFG"), a holding company located in Dallas, Texas, The subsidiaries of PFG are involved in investment related business. The firms and Mr. Bergman's roles are CEO of First Liberties Financial("FLF"), a registered broker-dealer, CEO of Pelion Investment Advisors, Inc. ("PIA"), a state registered investment adviser and Senior Vice President of Pelion Insurance Agency (PIAI). Since 9/2015, Mr. Bergman has been associated person of Tricom Partners LLC ("Tricom"), a Los Angeles, CA based commodities introducing broker. Mr. Bergman spends approximately 96 hours in activities pertaining to FLF, and 2 hours per month on business pertaining to each of PFG, PIA, PIAI and Tricom (some of which is during trading hours). Since 2017, Mr.Bergman has been acting as a consultant for Carver Edison, Inc, a firm involved in the ESPP business.. Matador is a personal LLC that is inactive at this time.
CRS (Client Relationship Summary) - RIA
Click below to view Hilary Guy Bergman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 15, 2019 - Present
PELION INVESTMENT ADVISORS, INC.
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602RIA
CRD#: 138400
TAMPA, FL
Current
March 18, 2010 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602Office #2: 2915 N. Boulevard Suite A, Tampa, FL 33602BD
CRD#: 14432
TAMPA, FL
Current
November 21, 2022 - Present
CARVER EDISON CAPITAL, LLC
Office #1: 14 Wall Street #5d, New York, NY 10005BD
CRD#: 315151
NEW YORK, NY
Past
November 4, 2011 - September 7, 2012
ACGM, INC.
BD
CRD#: 29705
NEW YORK, NY
Past
November 6, 2008 - January 8, 2009
KCD FINANCIAL, INC.
RIA
CRD#: 127473
DEPERE, WI
Past
October 3, 2008 - January 8, 2009
KCD FINANCIAL, INC.
BD
CRD#: 127473
DEPERE, WI
Past
May 1, 2006 - August 18, 2010
AVANZA CAPITAL MARKETS INC.
BD
CRD#: 103941
NEW YORK, NY
Past
March 7, 2006 - December 31, 2006
PELION INVESTMENT ADVISORS, INC.
RIA
CRD#: 138400
NEW YORK, NY
Past
April 8, 2005 - April 14, 2005
CLIFDEN EQUITIES, LLC
BD
CRD#: 38278
ST. JOHN,
Past
March 6, 2002 - July 3, 2008
PALI CAPITAL, INC.
BD
CRD#: 117783
NEW YORK, NY
Past
January 8, 1997 - May 28, 2002
PALI CAPITAL, LLC
BD
CRD#: 40173
NEW YORK, NY
Past
March 27, 1996 - January 15, 1997
NEWEDGE USA, LLC
BD
CRD#: 36118
CHICAGO, IL
Past
August 14, 1991 - December 6, 1993
GAIACORP SECURITIES, INC.
BD
CRD#: 26658
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/21/2010)
RR
Alaska(8/18/2010)
RR
Arizona(6/7/2010)
RR
Arkansas(9/9/2010)
RR
California(4/1/2010)
RR
Colorado(4/22/2010)
RR
Connecticut(5/12/2010)
RR
Delaware(11/23/2016)
RR
District of Columbia(8/24/2010)
RR
Florida(3/18/2010)
RR
Georgia(11/23/2016)
RR
Hawaii(11/17/2022)
RR
Idaho(2/24/2021)
RR
Illinois(4/7/2010)
RR
Indiana(6/24/2010)
RR
Iowa(4/12/2010)
RR
Kansas(11/23/2016)
RR
Kentucky(6/4/2010)
RR
Louisiana(11/23/2016)
RR
Maine(2/24/2021)
RR
Maryland(4/22/2010)
RR
Massachusetts(8/19/2010)
RR
Michigan(5/14/2010)
RR
Minnesota(3/19/2010)
RR
Mississippi(11/23/2016)
RR
Missouri(5/24/2010)
RR
Montana(6/16/2010)
RR
Nebraska(5/27/2010)
RR
Nevada(8/4/2010)
RR
New Hampshire(4/15/2016)
RR
New Jersey(3/18/2010)
RR
New Mexico(2/24/2021)
RR
New York(3/18/2010)
RR
North Carolina(5/27/2010)
RR
North Dakota(5/24/2010)
RR
Ohio(6/24/2010)
RR
Oklahoma(5/25/2010)
RR
Oregon(6/23/2010)
RR
Pennsylvania(4/6/2010)
RR
Puerto Rico(3/2/2021)
RR
Rhode Island(8/25/2010)
RR
South Carolina(7/9/2010)
RR
South Dakota(4/22/2010)
RR
Tennessee(3/18/2013)
RR
Texas(7/9/2010)
IAR
Texas(6/21/2021)
RR
Utah(5/19/2010)
RR
Vermont(2/9/2019)
RR
Virgin Islands(11/17/2022)
RR
Virginia(5/18/2010)
RR
Washington(5/18/2010)
RR
West Virginia(8/31/2010)
RR
Wisconsin(4/19/2010)
IAR
Wisconsin(1/15/2019)
RR
Wyoming(2/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/21/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PELION INVESTMENT ADVISORS, INC.
PELION INVESTMENT ADVISORS, INC.
CRD#: 138400 / SEC#: 801-66276
RIA
Registered Investment Advisory firm - (12/21/2012 Terminated)Connecticut
Registered Investment Advisory firm - (5/17/2023 Terminated)New York
Registered Investment Advisory firm - (4/18/2023 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2015 Failure to Renew)Texas
Registered Investment Advisory firm - (6/21/2021 Approved)Wisconsin
Registered Investment Advisory firm - (1/15/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
Phone number
(917) 639-5451
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 58,880,219 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
