Arthur M. Bergen
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.
Arthur Martin Bergen was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1979. Arthur had worked at 10 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1994 - November 22, 1995
SHAMROCK PARTNERS, LTD
September 27, 1993 - September 10, 1994
S. D. COHN & CO., INC.
April 29, 1991 - October 13, 1993
WINDSOR BENNETT CAPITAL GROUP CORP.
February 6, 1991 - February 28, 1991
REICH & CO., INC.
June 19, 1989 - February 8, 1991
DONALD & CO. SECURITIES INC.
March 21, 1989 - August 22, 1990
LOMBARD SECURITIES CORP.
September 8, 1988 - February 28, 1989
INVESTORS CENTER, INC.
January 12, 1988 - September 19, 1988
BENCH SECURITIES CORP.
February 16, 1984 - January 14, 1988
S. B. CANTOR & CO., INC.
December 7, 1979 - March 1, 1985
HELFER, BROUGHTON, 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
Exams
Series 1
Date: 6/12/1972
Registered Representative ExaminationCurrent Firm
SHAMROCK PARTNERS, LTD
CRD#: 23955 / SEC#: , 8-40676
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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.
