Albert William Bergmann Sr
Professional Summary
Albert William Bergmann SR, who also goes by Albert W Bergmann, Albert William Bergmann, Albert Bergmann, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Bensonhurst, New York. Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Albert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Albert W Bergmann, Albert William Bergmann, Albert Bergmann
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
Contact Information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858Phone Number
(203) 599-6000Established
Connecticut since 04/07/1993Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,839SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | — |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| REID, SHANNON | DIRECTOR | 4815189 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory Assets Under Management
Total Number of Accounts
11,892AUM (Assets Under Management)
$6,494,001,878Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
State Registrations and Notice Filings
(8/19/2016)
(5/4/2017)
(9/8/2017)
(9/3/2026)
(8/19/2016)
(9/20/2016)
(8/19/2016)
(7/14/2021)
(7/7/2017)
(8/19/2016)
(11/15/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2003About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2003About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Albert William Bergmann SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Albert William Bergmann SR's CRS (Customer Relationship Summary).
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