John Bergen
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.
John Bergen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 8 firms and has passed the Series 63 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
May 20, 2011 - October 4, 2011
OBSIDIAN FINANCIAL GROUP, LLC
February 24, 2006 - June 17, 2011
J.P. TURNER & COMPANY, L.L.C.
January 7, 2004 - March 2, 2006
GRANITE ASSOCIATES, INC
April 22, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
October 2, 2002 - May 20, 2003
HARRISON SECURITIES, INC.
January 3, 2001 - October 4, 2002
MILESTONE FINANCIAL SERVICES, INC.
February 27, 1997 - January 16, 2001
SEABOARD SECURITIES, INC.
July 8, 1996 - March 6, 1997
STERLING FOSTER & COMPANY, 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
Current Firm
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
