DB
D W. Bergner
WMG FINANCIAL ADVISORS
Knoxville, TN 37932
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CRD#: 1994381
DB
Professional summary
D William Bergner, CFP®, who also goes by Bill Bergner II, Bill Bergner, Dieter William Bergner Ii, Dieter William Bergner, is a registered financial advisor currently at WMG FINANCIAL ADVISORS, LLC located in Knoxville, Tennessee.
D is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. D has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24, Series 9, Series 10 and Series 26 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Are you a "fiduciary"?
Yes
Aliases
Bill Bergner Ii | Bill Bergner | Dieter William Bergner Ii | Dieter William Bergner
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.
DBA / WMG FINANCIAL ADVISORS POSITION: Owner/Founder/CEO NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2016 ADDRESS: 620 Mabry Hood Road, Knoxille TN 37932, United States DESCRIPTION: Offer investment advisory services to individuals and businesses WMG FINANCIAL SERVICES POSITION: Owner/Founds/CEO NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/1990 ADDRESS: 620 Mabry Hood Road, Knoxille TN 37932, United States DESCRIPTION: Offer insurance products
CRS (Client Relationship Summary) - RIA
Click below to view D William Bergner's 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®
CFP®
Start date: 2016
Experience
Current
November 30, 2016 - Present
WMG FINANCIAL ADVISORS, LLC
Office #1: 620 Mabry Hood Road Suite 101, Knoxville, TN 37932RIA
CRD#: 285824
Knoxville, TN
Past
December 8, 2017 - June 21, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
KNOXVILLE, TN
Past
December 19, 2005 - July 29, 2014
INDEPENDENT ADVISERS GROUP CORP
RIA
CRD#: 106684
KNOXVILLE, TN
Past
January 28, 2004 - December 21, 2017
OSAIC FS, INC.
RIA
CRD#: 3870
KNOXVILLE, TN
Past
September 11, 2002 - December 21, 2017
OSAIC FS, INC.
BD
CRD#: 3870
KNOXVILLE, TN
Past
May 28, 1991 - August 20, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 28, 1991 - August 20, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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".
WF
WMG FINANCIAL ADVISORS, LLC
DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC
CRD#: 285824 / SEC#: 801-116718
RIA
Registered Investment Advisory firm - (6/4/2019 Approved)Florida
Registered Investment Advisory firm - (8/16/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Louisiana
Registered Investment Advisory firm - (8/19/2019 Terminated)Mississippi
Registered Investment Advisory firm - (8/16/2019 Terminated)Tennessee
Registered Investment Advisory firm - (8/19/2019 Terminated)Texas
Registered Investment Advisory firm - (8/16/2019 Terminated)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.Highlighted states indicate IAR registrations
IAR
Florida(8/13/2018)
IAR
Georgia(6/1/2018)
IAR
Tennessee(11/30/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WF
WMG FINANCIAL ADVISORS, LLC
DAVIS WEALTH PARTNERS | WMG FINANCIAL ADVISORS, LLC | LEGACY WEALTH MANAGEMENT | KAIZEN RETIREMENT PLAN CONSULTANTS, LLC
CRD#: 285824 / SEC#: 801-116718
RIA
Registered Investment Advisory firm - (6/4/2019 Approved)Florida
Registered Investment Advisory firm - (8/16/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Louisiana
Registered Investment Advisory firm - (8/19/2019 Terminated)Mississippi
Registered Investment Advisory firm - (8/16/2019 Terminated)Tennessee
Registered Investment Advisory firm - (8/19/2019 Terminated)Texas
Registered Investment Advisory firm - (8/16/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
620 Mabry Hood Road Suite 101, Knoxville, TN 37932
Mailing Address
Phone number
(865) 290-4000
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,940 |
| AUM (Assets Under Management) | $ 614,890,081 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WMG FINANCIAL ADVISORS, LLC
CRD#: 285824Knoxville, TN 37932TRUST BUT VERIFY
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Contact information
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