JB
Joseph S. Bergamo
RBC CAPITAL MARKETS | Senior Vice President–Wealth Management
Albuquerque, NM 87110-4132
Some features on this profile are disabled
CRD#: 3050595
JB
Professional summary
Joseph Sam Bergamo, who also goes by Joseph Bergamo, Sam Bergamo, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Albuquerque, New Mexico.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Bergamo | Sam Bergamo
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) NAME OF ENTITY: Mandy's Farm ADDRESS: 7511 4th St NW, Albuquerque, New Mexico, 87107 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Foundation/Charitable Institution START DATE:03/02/2025 CAPACITY: Board of Directors DUTIES: I sit on the board of facilities for Mandy's Farm. my primary responsibility is to help raise funds to maintain the facilities at the farm. the second responsibility is to vote on where monies should be spent when it comes to the maintenance HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Sam Bergamo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Sam Bergamo'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
October 14, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132RIA
BD
CRD#: 31194
Albuquerque, NM
Current
October 14, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 6301 Uptown Blvd Ne Suite 100, Albuquerque, NM 87110-4132RIA
BD
CRD#: 31194
Albuquerque, NM
Past
April 20, 2009 - October 28, 2022
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ALBUQUERQUE, NM
Past
April 9, 2009 - October 28, 2022
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ALBUQUERQUE, NM
Past
January 23, 2003 - March 19, 2009
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ALBUQUERQUE, NM
Past
January 21, 2003 - March 19, 2009
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ALBUQUERQUE, NM
Past
April 16, 2001 - January 8, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ALBUQUERQUE, NM
Past
December 15, 2000 - January 8, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 8, 1998 - December 6, 2000
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 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
Alabama(10/28/2022)
RR
Arizona(10/14/2022)
RR
Arkansas(10/14/2022)
RR
California(10/14/2022)
RR
Colorado(10/14/2022)
RR
Connecticut(10/14/2022)
RR
Florida(10/14/2022)
RR
Georgia(10/14/2022)
RR
Hawaii(10/14/2022)
RR
Idaho(10/14/2022)
RR
Illinois(10/27/2022)
RR
Indiana(10/14/2022)
RR
Iowa(10/14/2022)
RR
Kansas(10/14/2022)
RR
Maryland(10/14/2022)
RR
Massachusetts(3/31/2025)
RR
Michigan(10/14/2022)
RR
Minnesota(11/1/2022)
RR
Missouri(10/14/2022)
RR
Nevada(10/14/2022)
RR
New Jersey(10/14/2022)
RR
New Mexico(10/14/2022)
IAR
New Mexico(10/17/2022)
RR
New York(10/14/2022)
RR
North Carolina(10/14/2022)
RR
Ohio(10/14/2022)
RR
Oklahoma(10/14/2022)
RR
Oregon(10/14/2022)
RR
Pennsylvania(10/14/2022)
RR
South Dakota(11/4/2024)
RR
Tennessee(11/25/2024)
RR
Texas(10/14/2022)
IAR
Texas(10/14/2022)
RR
Utah(10/14/2022)
RR
Virgin Islands(4/14/2025)
IAR
Virgin Islands(4/14/2025)
RR
Virginia(10/14/2022)
RR
Washington(10/14/2022)
RR
Wisconsin(10/14/2022)
RR
Wyoming(10/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
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
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
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 | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
Company Information
RBC CAPITAL MARKETS, LLC
Senior Vice President–Wealth ManagementCRD#: 31194Albuquerque, NM 87110-4132TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
