Andrew D. Bergel
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.
Andrew David Bergel was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1996. Andrew had worked at 4 firms and has passed the Series 66, 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
August 15, 2006 - January 7, 2008
OPUS TRADING FUND LLC
January 27, 2005 - August 2, 2006
EQUITABLE ADVISORS, LLC
December 3, 2004 - August 2, 2006
EQUITABLE ADVISORS, LLC
January 14, 1999 - March 17, 1999
REFCO SECURITIES, LLC
July 7, 1997 - October 30, 1997
REFCO SECURITIES, LLC
September 25, 1996 - July 14, 1997
BERSEC INTERNATIONAL CORPORATION
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
OPUS TRADING FUND LLC
CRD#: 125204 / SEC#: , 8-65779
Contact information
Documents
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.
