Roy M. Bergey

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CRD#: 2907076

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.

Roy Michael Bergey was a registered financial professional .

Roy is a previously registered financial professional and started their career in finance in 1997. Roy had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

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.

1) FIXED INSURANCE - 20947 STATE ROAD 119 GOSHEN, IN 46526; FIXED INSURANCE SALES; NON INVESTMENT RELATED; PRESIDENT; 25% OF TIME SPENT 2) ROY'S ANTIQUES - 20947 SR 119, GOSHEN, IN 46526, ANTIQUE BOOTHS IN GOSHEN AND ELKART IN ANTIQUE MALLS, OWNER, PURCHASE STOCK BOOTHS, 5% OF TIME SPENT, PROCEEDS FROM GROSS SALES. 04/29/11 3) RENTAL OF FLORIDA CONDO - ARCADIA, FL; OWNER; REAL ESTATE RENTAL; NON-INVESTMENT RELATED BUSINESS; 1% OF TIME SPENT 4) RENTAL OF FLORIDA SECOND FLORIDA CONDO - ARCADIA, FL; OWNER; REAL ESTATE RENTAL' NON-INVESTMENT BUSINESS; <1% OF TIME SPENT

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 15, 2022 - January 8, 2025

GENERATIONAL WEALTH, INC.

RIA

CRD#: 281330

ROCKINGHAM, VA

Past

November 1, 2007 - February 11, 2022

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

GOSHEN, IN

Past

November 1, 2007 - February 11, 2022

KOVACK SECURITIES INC.

CRD#: 44848

GOSHEN, IN

Past

August 21, 2006 - November 1, 2007

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

STURGIS, MI

Past

July 9, 1997 - November 1, 2007

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

STURGIS, MI

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".

GENERATIONAL WEALTH, INC.

GEN-WEALTH PARTNERS | GENERATIONAL WEALTH, INC. | GENERATIONAL WEALTH MANAGMENT | GENERATIONAL WEALTH MANAGEMENT | GEN-WEALTH PARTNERS, INC.

CRD#: 281330 / SEC#: 801-118828

RIA

Registered Investment Advisory firm - (6/1/2020 Approved)

Indiana

Registered Investment Advisory firm - (8/27/2020 Terminated)

Michigan

Registered Investment Advisory firm - (8/21/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 8/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 7/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 7/8/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GENERATIONAL WEALTH, INC.

GEN-WEALTH PARTNERS | GENERATIONAL WEALTH, INC. | GENERATIONAL WEALTH MANAGMENT | GENERATIONAL WEALTH MANAGEMENT | GEN-WEALTH PARTNERS, INC.

CRD#: 281330 / SEC#: 801-118828

RIA

Registered Investment Advisory firm - (6/1/2020 Approved)

Indiana

Registered Investment Advisory firm - (8/27/2020 Terminated)

Michigan

Registered Investment Advisory firm - (8/21/2020 Terminated)

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Contact information

Main Address

244 East Main Avenue, Zeeland, MI 49464

Mailing Address

Phone number

(616) 931-1270

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (4/16/2026)

Regulatory assets under management

Total Number of Accounts	2,121
AUM (Assets Under Management)	$ 394,770,403

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/10/2026	Cover Page	Report
02/04/2026	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Roy M. Bergey

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

Primary Firm SEC Registration

GENERATIONAL WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Passed: 8/18/2006

Series 63

Passed: 7/8/1997

SIE

Passed: 10/1/2018

Series 6

Passed: 7/8/1997

Current Firm

GENERATIONAL WEALTH, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GENERATIONAL WEALTH, INC.

TRUST BUT VERIFY

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