Oliver A. Bergmann

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CRD#: 1842154

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.

Oliver Andreas Bergmann was a registered financial professional .

Oliver is a previously registered financial professional and started their career in finance in 1989. Oliver had worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 3, Series 14, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Oliver Bergmann is the owner of Middle Clapboard Advisors, Inc., a Connecticut S Corporation located in Stamford CT, providing non-investment related management consulting services for approximately 120 hours per month. Patten Training & Review LLC; Not investment -related;66 Summer St, Unit 912, Stamford CT, 06901; Nature of business is compliance consultancy; Compliance Officer; 01/2024-Present; 30 hrs/mo during securities trading hrs; Duties include compliance supervision, operations services provided as a consultant to various clients.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 5, 2024 - June 20, 2024

LINDEN THOMAS ADVISORY SERVICES, LLC

RIA

CRD#: 288557

Stamford, CT

Past

February 5, 2024 - June 20, 2024

INDEXPERTS, LLC

RIA

CRD#: 314858

Stamford, CT

Past

February 5, 2024 - June 20, 2024

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244

CHARLOTTE, NC

Past

August 13, 2020 - April 10, 2025

GLOBAL PACIFIC SECURITIES US, INC.

CRD#: 304566

New York, NY

Past

July 25, 2018 - September 9, 2019

CRITO CAPITAL LLC

CRD#: 161724

Stamford, CT

Past

February 2, 2016 - October 31, 2017

MALLORY CAPITAL GROUP, LLC

CRD#: 108486

Darien, CT

Past

March 9, 2004 - July 28, 2005

CAPITAL Z SECURITIES, LLC

CRD#: 124195

NEW YORK, NY

Past

January 7, 1999 - July 26, 1999

SANWA UNIVERSAL SECURITIES CO., LLC

CRD#: 8427

NEW YORK, NY

Past

September 30, 1993 - October 23, 1995

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 21, 1989 - September 30, 1993

DEUTSCHE BANK CAPITAL CORPORATION

CRD#: 5323

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LINDEN THOMAS ADVISORY SERVICES, LLC

LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY

CRD#: 288557 / SEC#: 801-110683

RIA

Registered Investment Advisory firm - (6/23/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/26/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 12/28/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/2/2016

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/19/2004

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 2/5/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 5/29/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/7/2019

General Securities Principal Examination

Current Firm

LINDEN THOMAS ADVISORY SERVICES, LLC

LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY

CRD#: 288557 / SEC#: 801-110683

RIA

Registered Investment Advisory firm - (6/23/2017 Approved)

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Contact information

Main Address

516 North Tryon Street, Suite 200, Charlotte, NC 28202

Mailing Address

Phone number

(704) 554-8150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LTAS PART 2A DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	6,977
AUM (Assets Under Management)	$ 1,633,842,616

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Oliver A. Bergmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INDEXPERTS, LLC

LINDEN THOMAS AND COMPANY SECURITIES, LLC

GLOBAL PACIFIC SECURITIES US, INC.

CRITO CAPITAL LLC

MALLORY CAPITAL GROUP, LLC

CAPITAL Z SECURITIES, LLC

SANWA UNIVERSAL SECURITIES CO., LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK CAPITAL CORPORATION

Primary Firm SEC Registration

LINDEN THOMAS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2024

Series 63

Date: 4/6/2016

Series 79TO

Date: 12/28/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/2/2016

Series 3

Date: 3/19/2004

Series 14

Date: 2/5/2024

Series 4

Date: 5/29/2021

Series 24

Date: 10/7/2019

Current Firm

LINDEN THOMAS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LINDEN THOMAS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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