Daniel L. Bergin

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CRD#: 2809845

Professional summary

Daniel Lutz Bergin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Daniel had worked at 8 firms, which includes RBC CAPITAL MARKETS LLC, RBC CAPITAL MARKETS CORPORATION, MORGAN KEEGAN & COMPANY LLC, DOYLE MILES & CO. LLC, FROST SECURITIES INC., JOSEPH GUNNAR & CO. LLC, TASIN & COMPANY INC., FIRST ASSET MANAGEMENT INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Bergin | Danny Bergin

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 29, 2008 - June 6, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

DALLAS, TX

Past

June 5, 2006 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

DALLAS, TX

Past

March 17, 2004 - May 31, 2006

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

January 6, 2004 - May 31, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

October 7, 2002 - December 31, 2003

DOYLE, MILES & CO., LLC

CRD#: 115740

NEW YORK, NY

Past

July 22, 1999 - July 25, 2002

FROST SECURITIES, INC.

CRD#: 47124

DALLAS, TX

Past

November 12, 1997 - July 23, 1999

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

Past

June 25, 1997 - November 17, 1997

TASIN & COMPANY, INC.

CRD#: 30709

HAUPPAUGE, NY

Past

January 1, 1997 - June 20, 1997

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, 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".

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 1/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 5/25/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 2/24/2003

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 12/26/1996

General Securities Representative Examination

Current Firm

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

200 Vesey St., New York, NY 10281

Mailing Address

250 Nicollet Mall Suite 1600, Minneapolis, MN 55401

Phone number

(612) 371-2811

Established

Minnesota since 11/01/2010

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Large

# of Employees

8,781

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (1/28/2026)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (1/28/2026)

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (1/28/2026)

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (1/28/2026)

Direct owners and executive officers

Name	Position	CRD#
RBC USA HOLDCO CORPORATION	DIRECT OWNER
CARLESIMO, PAUL ADAM	CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S.	4718504
ESPENAK, KRISTEN ELIZABETH	CHIEF RISK OFFICER, USA	5570750
GIEGERICH, ROBERT ARTHUR	PRINCIPAL FINANCIAL OFFICER	5736294
GLASSMAN, DORJE TSERING	CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP	6568226
LISCHIN, MATTHEW CODY	CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP	4974723
O'CONNOR, SEAN WALTER	CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S.	6578918
PENN, JOHN CHRISTOPHER	GENERAL COUNSEL	5135403
SAGISSOR, THOMAS STEVEN	PRESIDENT OF RBC WEALTH MANAGEMENT	2429425
SCHREINER, CINDY LOUISE	US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER	1470050
SPERDUTO, VITO ANTONIO	DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD	2524961
THORNE, BRETT LANE	PRESIDENT, RBC CLEARING & CUSTODY	2523268
THURLOW, JOHN J	CHIEF OPERATING OFFICER	5726613

Regulatory assets under management

Total Number of Accounts	511,871
AUM (Assets Under Management)	$ 310,428,968,904

Disclosures

Regulatory Event	367
Civil Event	3
Arbitration	114
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/27/2024	Cover Page	Report
09/14/2023	Cover Page	Report

Red Flags

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Daniel L. Bergin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

DOYLE, MILES & CO., LLC

FROST SECURITIES, INC.

JOSEPH GUNNAR & CO. LLC

TASIN & COMPANY, INC.

FIRST ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

RBC CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/3/1997

Series 55

Date: 5/25/2005

Series 25

Date: 2/24/2003

Series 7

Date: 12/26/1996

Current Firm

RBC CAPITAL MARKETS, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RBC CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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