Michael H. Bergman

CETERA INVESTMENT ADVISERS LLC

DANBURY, CT 06810

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CRD#: 19303

Professional summary

Michael Hillel Bergman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Danbury, Connecticut and CETERA WEALTH SERVICES, LLC located in Danbury, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1969. Michael has worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. INDEPENDENT INSURANCE AGENT MICHAEL H. BERGMAN, CLU DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE BEGAN 09/1993, 11HRS/WKDY,4HRS/WKED 2. NAME OF OTHER BUSINESS: DBA SYNERGY LIFE INSURANCE STRATEGIES LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE; START DATE: 09/12/2016; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 20 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Hillel Bergman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8 Enclave Drive, Danbury, CT 06810

RIA

CRD#: 105644

DANBURY, CT

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8 Enclave Drive, Danbury, CT 06810

CRD#: 13572

Danbury, CT

Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

April 16, 2007 - January 30, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DANBURY, CT

Past

July 25, 2006 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

DANBURY, CT

Past

August 1, 2003 - March 17, 2006

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

DANBURY, CT

Past

August 1, 2003 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

DANBURY, CT

Past

August 2, 2000 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

DANBURY, CT

Past

July 28, 1994 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA

CRD#: 8503

DANBURY, CT

Past

June 13, 1994 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

October 20, 1980 - October 1, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

April 26, 1972 - October 1, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

May 1, 1969 - June 17, 1971

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Connecticut
(9/3/2013)

IAR

Connecticut
(6/29/2023)

Florida
(9/3/2013)

New Jersey
(9/3/2013)

New York
(9/3/2013)

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

State Security Law Exam

Series 63

Date: 2/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/24/1969

Registered Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Michael H. Bergman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Hillel Bergman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

NATHAN & LEWIS SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/14/1986

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 4/24/1969

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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