Marvin A. Bergstrom
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.
Marvin Alan Bergstrom, who also goes by Alan Bergstrom, M Alan Bergstrom, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1971. Marvin had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 1, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2003 - January 2, 2023
CRESCENT SECURITIES GROUP, INC.
March 9, 2001 - October 3, 2003
CHOICE INVESTMENTS, INC.
September 16, 1997 - March 9, 2001
RHODES SECURITIES, INC.
October 18, 1991 - September 18, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
September 13, 1991 - October 30, 1991
EDWARD JONES
August 25, 1989 - September 13, 1991
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
December 1, 1975 - June 14, 1983
A. G. EDWARDS & SONS, INC.
August 22, 1973 - January 4, 1976
LENTZ, NEWTON & CO.
August 27, 1971 - October 7, 1973
ELLIS & MCLEOD SECURITIES CORP
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: 8/24/1971
Registered Representative ExaminationSeries 8
Date: 7/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
