Jordan S. Bergstein
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.
Jordan Scott Bergstein was a registered financial professional .
Jordan is a previously registered financial professional and started their career in finance in 1993. Jordan had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2013 - August 14, 2019
THE LEADERS GROUP, INC.
September 15, 1998 - August 5, 2013
PRINCIPAL SECURITIES, INC.
March 4, 1998 - August 19, 1998
SIGNATOR INVESTORS, INC.
January 3, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 3, 1996 - February 23, 1998
SIGNATOR INVESTORS, INC.
May 6, 1993 - December 31, 1993
ROBERT W. BAIRD & CO. INCORPORATED
May 6, 1993 - January 7, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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