Matthew W. Bergin
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.
Matthew William Bergin, who also goes by Matthew William Bergin, Matthew Bergin, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1992. Matthew had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2021 - July 24, 2024
ASPIRATION FINANCIAL LLC
February 3, 2020 - March 20, 2021
NORTHEASTERN CAPITAL MANAGEMENT, LLC
January 4, 2017 - July 2, 2020
USTOCKTRADE SECURITIES, INC.
January 2, 2015 - January 13, 2017
REGAL SECURITIES, INC.
November 14, 2012 - December 31, 2019
NORTHEASTERN CAPITAL MANAGEMENT, LLC
May 31, 2012 - December 31, 2014
USTOCKTRADE SECURITIES, INC.
June 6, 2011 - June 15, 2012
REGAL ADVISORY SERVICES, INC.
April 15, 2011 - June 15, 2012
REGAL SECURITIES, INC.
January 3, 2011 - April 18, 2011
J.P. TURNER & COMPANY, L.L.C.
September 5, 2006 - December 31, 2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
July 7, 2004 - September 5, 2006
SCHOTTENFELD GROUP LLC
September 8, 2003 - July 6, 2004
PUGLISI & CO.
June 25, 2002 - March 11, 2003
DOMESTIC SECURITIES, INC.
April 5, 2002 - June 25, 2002
NATIONAL SECURITIES CORPORATION
December 16, 1998 - April 12, 2000
UBS SECURITIES LLC
April 24, 1997 - June 10, 1997
ESSEX CAPITAL MARKETS, INC.
October 22, 1992 - July 11, 1995
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
ASPIRATION FINANCIAL LLC
CRD#: 291904 / SEC#: , 8-70066
Contact information
Documents
Red Flags
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