RB
Richard H. Bergman
ROCKEFELLER FINANCIAL LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2826654
RB
Professional summary
Richard Harris Bergman, CFP® is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Chicago, Illinois.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME OF OBA: MAPLE TOWER CONDOMINIUM ASSOCIATION -- For non-profit -- non-investment related --ADDRESS OF BUSINESS:1035 N. Dearborn Street CHICAGO, ILLINOIS 60610 -- NATURE OF BUSINESS: CORPORATIOn --
POSITION: Board secretary --
START DATE OF RELATIONSHIP: 01/2014
NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1
DUTIES: CONDO BOARD DIRECTOR; AS ONE OF THREE DIRECTORS I WOULD VOTE ON POLICY DECISIONS ON BEHALF OF OWNERS; GENERAL OVERSIGHT AND DUTIES WOULD INCLUDE WORKING WITH THE MGMT CO, STAFF AND OTHER THIRD PARTIES TO ALLOW FOR ASSOCIATION TO OPERATE EFFECTIVELY
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Jewish United Fund/Federation
Investment related: N
Address of business:
Chicago, Illinois 60606
Nature of business: Charitable Organization,
Position, title, association: Advisory Board Member,
Start date of relationship: 1/1/2004
Number of hours devoted: 50 hour(s) Annually
Number of hours devoted during trading hours: 5
Duties: Various committee positions for dinner events, etc. which do not involve any financial control, guidance or investment review
I*52320
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Jewish United Fund/Federation
Investment related: N
Address of business:
Chicago, Illinois 60606
Nature of business: Charitable Organization,
Position, title, association: Participant,
Start date of relationship: 1/1/2004
Number of hours devoted: 50 hour(s) Annually
Number of hours devoted during trading hours: 5
Duties: Various committee positions for dinner events, etc. which do not involve any financial control, guidance or investment review
CRS (Client Relationship Summary) - RIA
Click below to view Richard Harris Bergman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Harris Bergman'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®
CFP®
Start date: 1996
Experience
Current
January 14, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Current
January 14, 2021 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 222 West Adams Suite 2450, Chicago, IL 60606RIA
BD
CRD#: 291361
Chicago, IL
Past
November 18, 2011 - January 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
November 18, 2011 - January 15, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
March 20, 2006 - December 2, 2011
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
CHICAGO, IL
Past
May 9, 2002 - December 2, 2011
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
CHICAGO, IL
Past
May 1, 2002 - December 31, 2009
MESIROW FINANCIAL, INC.
RIA
CRD#: 2764
CHICAGO, IL
Past
June 30, 1999 - October 30, 2001
WAVELAND CAPITAL PARTNERS LLC
BD
CRD#: 40054
IRVINE, CA
Past
December 13, 1996 - August 29, 1997
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
COHOES, 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".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
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.
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
Arizona(2/3/2021)
RR
California(1/14/2021)
RR
Colorado(1/19/2021)
RR
Connecticut(1/14/2021)
RR
District of Columbia(12/13/2024)
RR
Florida(5/6/2021)
RR
Georgia(2/1/2021)
IAR
Illinois(1/21/2021)
RR
Illinois(2/4/2021)
RR
Iowa(1/14/2021)
RR
Massachusetts(1/14/2021)
RR
Michigan(1/14/2021)
RR
New Jersey(1/14/2021)
RR
New Mexico(5/12/2023)
RR
New York(1/14/2021)
RR
North Carolina(1/14/2021)
RR
Oregon(5/12/2023)
RR
Texas(1/14/2021)
IAR
Texas(1/14/2021)
RR
Utah(5/12/2023)
RR
Washington(1/14/2021)
RR
Wisconsin(1/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
