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SB

Steven A. Bergeron

WEALTHCARE CAPITAL MANAGEMENT LLC
KEENE, NH
Some features on this profile are disabled
CRD#: 2160195
SB

Professional summary

Steven Allen Bergeron, who also goes by Steve Bergeron, is a registered financial advisor currently at WEALTHCARE CAPITAL MANAGEMENT LLC located in Keene, New Hampshire.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Steven has worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steve Bergeron

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 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 2)STEVEN A BERGERON, 271 OLD WALPOLE RD, KEENE, NH 03431. BEGAN 1/2008 AS NOTARY.DEVOTES 1 HR/MO-NONE DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Allen Bergeron'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 4, 2013 - Present

WEALTHCARE CAPITAL MANAGEMENT LLC

RIA
CRD#: 111119
KEENE, NH
Past

January 31, 2008 - June 17, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
KEENE, NH
Past

January 31, 2008 - June 17, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
KEENE, NH
Past

March 1, 2004 - February 1, 2008

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
KEENE, NH
Past

March 1, 2004 - February 1, 2008

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
KEENE, NH
Past

January 2, 2004 - March 9, 2004

LPL FINANCIAL LLC

RIA
CRD#: 6413
KEENE, NH
Past

January 2, 2004 - March 9, 2004

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

October 13, 2003 - January 2, 2004

CHITTENDEN SECURITIES, LLC.

RIA
CRD#: 45190
KEENE, NH
Past

October 13, 2003 - January 2, 2004

CHITTENDEN SECURITIES, LLC.

BD
CRD#: 45190
BURLINGTON, VT
Past

June 27, 2001 - October 10, 2003

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
REENE, NH
Past

November 29, 1995 - October 10, 2003

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
MERIDEN, CT
Past

September 28, 1995 - December 12, 1995

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

June 1, 1993 - April 28, 1995

FISCO EQUITY, INC.

BD
CRD#: 24067
LINCOLN, RI
Past

October 2, 1991 - April 29, 1992

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 2, 1991 - April 29, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
WC
WEALTHCARE CAPITAL MANAGEMENT LLC
AUDREY SANDERS WEALTH ADVISORY OF HARLEM | YOUNG FINANCIAL GROUP | WEALTHCARE PRIVATE CLIENT, LLC | WEALTHCARE FOR WOMEN | WEALTHCARE CAPITAL MANAGEMENT, INC. | WEALTHCARE CAPITAL MANAGEMENT LLC DBA JSW FINANCIAL | WEALTHCARE CAPITAL MANAGEMENT LLC DBA CAREWELL | WEALTHCARE CAPITAL MANAGEMENT LLC | VAN ZANDT FINANCIAL | THORNTON WEALTH MANAGEMENT | SIGHTLINE INVESTMENTS, A DIVISION OF WEALTHCARE CAPITAL MANAGEMENT LLC | PERSONAL FINANCIAL EXPERIENCES LLC | HESSENFLOW FINANCIAL PLANNING | FPA SECURITIES, INC. | FINANCIAL LIFE DESIGNS | FINANCEWARE, INC. DBA WEALTHCARE CAPITAL MANAGEMENT RETIREMENT SERVICES | FINANCEWARE, INC. DBA WEALTHCARE CAPITAL MANAGEMENT | FINANCEWARE, INC. DBA THE CULLY WEALTH MANAGEMENT GROUP | FINANCEWARE, INC. DBA CR WEALTH MANAGEMENT GROUP | FINANCEWARE, INC. | BEACON WEALTH ADVISORS

CRD#: 111119 / SEC#: 801-60183

RIA
Registered Investment Advisory firm - (4/19/2001 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.

Highlighted states indicate IAR registrations

IAR
New Hampshire
(6/4/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/25/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/1/1996
General Securities Principal Examination

Current Firm

WC
WEALTHCARE CAPITAL MANAGEMENT LLC
AUDREY SANDERS WEALTH ADVISORY OF HARLEM | YOUNG FINANCIAL GROUP | WEALTHCARE PRIVATE CLIENT, LLC | WEALTHCARE FOR WOMEN | WEALTHCARE CAPITAL MANAGEMENT, INC. | WEALTHCARE CAPITAL MANAGEMENT LLC DBA JSW FINANCIAL | WEALTHCARE CAPITAL MANAGEMENT LLC DBA CAREWELL | WEALTHCARE CAPITAL MANAGEMENT LLC | VAN ZANDT FINANCIAL | THORNTON WEALTH MANAGEMENT | SIGHTLINE INVESTMENTS, A DIVISION OF WEALTHCARE CAPITAL MANAGEMENT LLC | PERSONAL FINANCIAL EXPERIENCES LLC | HESSENFLOW FINANCIAL PLANNING | FPA SECURITIES, INC. | FINANCIAL LIFE DESIGNS | FINANCEWARE, INC. DBA WEALTHCARE CAPITAL MANAGEMENT RETIREMENT SERVICES | FINANCEWARE, INC. DBA WEALTHCARE CAPITAL MANAGEMENT | FINANCEWARE, INC. DBA THE CULLY WEALTH MANAGEMENT GROUP | FINANCEWARE, INC. DBA CR WEALTH MANAGEMENT GROUP | FINANCEWARE, INC. | BEACON WEALTH ADVISORS

CRD#: 111119 / SEC#: 801-60183

RIA
Registered Investment Advisory firm - (4/19/2001 Approved)
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Contact information

Main Address
2 James Center 1021 East Cary Street, #702, Richmond, VA 23219
Mailing Address
600 East Main Street Suite 1240, Richmond, VA 23219
Phone number
(804) 644-4711
Established
Firm type
Fiscal year end
# of Employees
53

SEC notice filing (37 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

WCM DISCLOSURE BROCHURE (7/22/2025)

Regulatory assets under management

Total Number of Accounts11,564
AUM (Assets Under Management)$ 3,030,880,135

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

WEALTHCARE CAPITAL MANAGEMENT LLC

CRD#: 111119Keene, NH

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