Donald L. Bergeron
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.
Donald Lee Bergeron was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1995. Donald had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2009 - September 23, 2016
CAPITAL GUARDIAN, LLC
October 5, 2009 - September 23, 2016
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC
February 12, 2002 - March 25, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2002 - March 25, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1999 - January 2, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
May 10, 1996 - October 1, 1999
AMERICAN FRONTEER FINANCIAL CORPORATION
November 20, 1995 - May 15, 1996
UBS FINANCIAL SERVICES INC.
September 29, 1995 - October 31, 1995
AMERICAN FRONTEER FINANCIAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL GUARDIAN, LLC
CRD#: 137919 / SEC#: , 8-67133
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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