AB
Albert W. Bergmann
OSAIC INSTITUTIONS
Bensonhurst, NY 11204
Some features on this profile are disabled
CRD#: 2800662
AB
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 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Albert W Bergmann | Albert William Bergmann | Albert Bergmann
Other business activities
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.
The advisor shows no other business activity.
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 20, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 7124 18th Ave, Bensonhurst, NY 11204Office #2: 205-11 Hillside Avenue, Hollis, NY 11423Office #3: 25-29 Parsons Blvd, Whitestone, NY 11354Office #4: 208-24 Cross Island Parkway, Bayside, NY 11360Office #5: 107-55 Queens Blvd, Forest Hills, NY 11375Office #6: 71-02 Forest Avenue, Ridgewood, NY 11385Office #7: 202-16 Rockaway Pt. Blvd, Breezy Point, NY 11697Office #8: 244 Court St., Brooklyn, NY 11201Office #9: 8522-26 Third Avenue, Brooklyn, NY 11209Office #10: 320 E. 204th Street, Bronx, NY 10467RIA
BD
CRD#: 35371
Bensonhurst, NY
Current
August 19, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 7124 18th Ave, Bensonhurst, NY 11204Office #2: 205-11 Hillside Avenue, Hollis, NY 11423Office #3: 25-29 Parsons Blvd, Whitestone, NY 11354Office #4: 208-24 Cross Island Parkway, Bayside, NY 11360Office #5: 107-55 Queens Blvd, Forest Hills, NY 11375Office #6: 71-02 Forest Avenue, Ridgewood, NY 11385Office #7: 202-16 Rockaway Pt. Blvd, Breezy Point, NY 11697Office #8: 244 Court St., Brooklyn, NY 11201Office #9: 8522-26 Third Avenue, Brooklyn, NY 11209Office #10: 320 E. 204th Street, Bronx, NY 10467RIA
BD
CRD#: 35371
Bensonhurst, NY
Past
March 3, 2016 - July 27, 2016
M&T SECURITIES, INC.
RIA
CRD#: 17358
NEW YORK, NY
Past
March 3, 2016 - July 27, 2016
M&T SECURITIES, INC.
BD
CRD#: 17358
NEW YORK, NY
Past
April 18, 2012 - February 26, 2016
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
FLUSHING, NY
Past
January 24, 2012 - February 10, 2012
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
FLUSHING, NY
Past
January 24, 2012 - February 26, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
FLUSHING, NY
Past
February 2, 2010 - January 6, 2012
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FOREST HILLS, NY
Past
February 2, 2010 - January 6, 2012
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FOREST HILLS, NY
Past
December 16, 2008 - February 5, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
QUEENS, NY
Past
December 5, 2008 - February 5, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
QUEENS, NY
Past
December 5, 2007 - November 17, 2008
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
BRONX, NY
Past
January 1, 2005 - November 17, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
BRONX, NY
Past
December 12, 2001 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
July 15, 1997 - December 11, 2001
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
October 4, 1996 - February 19, 1997
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(8/19/2016)
RR
Florida(5/4/2017)
RR
Massachusetts(9/8/2017)
RR
New Jersey(8/19/2016)
IAR
New Jersey(9/20/2016)
RR
New York(8/19/2016)
IAR
New York(7/14/2021)
RR
North Carolina(7/7/2017)
RR
Pennsylvania(8/19/2016)
RR
Virginia(11/15/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 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 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
