Louis G. Bergamo
Professional summary
Louis Grant Bergamo, CFP®, who also goes by Grant Bergamo, L. Grant Bergamo, Louis G Bergamo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Francisco, California and CETERA ADVISORS LLC located in San Francisco, California.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Louis has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Louis Grant Bergamo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: Four Embarcadero Center Suite 1400, San Francisco, CA 94111September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: One Embarcadero Center Suite 1200, San Francisco, CA 94111November 13, 2017 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
November 10, 2017 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 3, 2011 - November 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - November 16, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 12, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
December 2, 1994 - May 26, 1998
RFS PARTNERS
May 26, 1993 - April 22, 1994
PORTSMOUTH FINANCIAL SERVICES
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/3/2024)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(3/23/2023)
(9/8/2022)
(9/8/2022)
(5/30/2024)
(9/8/2022)
(9/8/2022)
(9/8/2022)
(5/24/2022)
(9/8/2022)
(9/8/2022)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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