Joakim Bergander
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.
Joakim Bergander was a registered financial professional .
Joakim is a previously registered financial professional and started their career in finance in 1989. Joakim had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2017 - July 10, 2019
ROUNDTABLE CAPITAL SERVICES LLC
August 21, 2012 - October 18, 2013
CEA ATLANTIC ADVISORS, LLC
April 19, 2000 - February 28, 2003
DEUTSCHE BANK SECURITIES INC.
May 10, 1994 - April 24, 2000
CREDIT SUISSE SECURITIES (USA) LLC
September 20, 1989 - June 10, 1994
GOLDMAN SACHS & CO. LLC
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 8
Date: 8/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROUNDTABLE CAPITAL SERVICES LLC
CRD#: 142784 / SEC#: , 8-67487
Contact information
Documents
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.
