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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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JB

John D. Bergstrom

Some features on this profile are disabled
CRD#: 2152929
JB

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.

John Derrick Bergstrom, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1994. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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®

Certified Financial Planner

Experience

Past

January 12, 2012 - June 25, 2024

RUSSELL INVESTMENTS

RIA
CRD#: 105734
Austin, TX
Past

January 12, 2012 - June 25, 2024

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
Austin, TX
Past

November 12, 2008 - January 13, 2012

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
AUSTIN, TX
Past

November 12, 2008 - January 13, 2012

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

August 1, 2008 - November 12, 2008

AFAM CAPITAL, INC.

RIA
CRD#: 108517
LAGUNA BEACH, CA
Past

July 11, 2008 - November 7, 2008

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

July 10, 2003 - May 29, 2008

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
AUSTIN, TX
Past

July 10, 2003 - May 29, 2008

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

February 15, 2002 - April 15, 2003

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

May 10, 1999 - January 29, 2001

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

January 21, 1999 - April 26, 1999

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

May 27, 1998 - February 10, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 6, 1997 - May 20, 1998

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ
Past

September 26, 1995 - January 31, 1997

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

August 15, 1994 - July 20, 1995

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
LOS ANGELES, CA

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".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/19/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/9/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/12/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/10/2005
General Securities Principal Examination

Current Firm

RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP

CRD#: 105734 / SEC#: 801-17141

RIA
Registered Investment Advisory firm - (5/21/1982 Approved)
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Contact information

Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RUSSELL INVESTMENT MANAGEMENT, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts69,312
AUM (Assets Under Management)$ 62,376,876,918

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.

Company Information

RUSSELL INVESTMENTS

CRD#: 105734

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