Peter J. Bergen
Professional summary
Peter James Bergen JR, who also goes by Peter Bergen, Peter James Bergen, is a registered financial professional currently at STONEHAVEN, LLC located in New York, New York.
Peter is registered as a RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter James Bergen JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2020 - Present
STONEHAVEN, LLC
Office #1: 600 Fifth Avenue Second Floor, New York, NY 10020February 19, 2020 - July 20, 2020
CABOT LODGE SECURITIES LLC
February 12, 2016 - March 29, 2019
TIGRESS FINANCIAL PARTNERS, LLC
August 29, 2014 - February 10, 2016
FORESIDE FUND SERVICES, LLC
September 19, 2012 - September 4, 2014
AST INVESTOR SERVICES LLC
December 5, 2008 - May 21, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 2, 1997 - October 30, 2008
R.W.PRESSPRICH & CO.
May 28, 1996 - June 12, 1997
LABRANCHE FINANCIAL SERVICES, LLC
November 12, 1992 - May 28, 1996
H. G. WELLINGTON & CO., INC.
April 28, 1992 - November 17, 1992
MELBOURNE GSI CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/16/2024)
(1/21/2021)
(8/10/2020)
(9/8/2020)
(1/5/2024)
(5/15/2023)
(1/21/2021)
(11/18/2024)
(7/30/2020)
(6/26/2020)
(10/3/2025)
(1/27/2021)
(4/19/2023)
Exams
FINRA
Current Firm
STONEHAVEN, LLC
CRD#: 118913 / SEC#: , 8-53699
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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