Bergon Brokaw
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.
Bergon Brokaw was a registered financial professional .
Bergon is a previously registered financial professional and started their career in finance in 1996. Bergon had worked at 1 firm and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 1996 - January 2, 2015
BROKAW RICE INVESTMENT ADVISORS, INCORPORATED
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 2
Date: 12/19/1995
Non-Member General Securities ExaminationCurrent Firm
BROKAW RICE INVESTMENT ADVISORS, INCORPORATED
CRD#: 141533 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 6,189,359 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
