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JB

Joseph C. Bergen

CLARENDON INSURANCE AGENCY
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 3063543
JB

Professional summary

Joseph Charles Bergen Jr, who also goes by Joseph Charles Bergen Jr, Joseph Charles Bergen, Joseph Bergen, is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Charles Bergen Jr | Joseph Charles Bergen | Joseph Bergen

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) - BD

Click below to view Joseph Charles Bergen Jr'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®
None

Experience

Current

February 10, 2020 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Ave 6th Floor, Waltham, MA 02451
BD
CRD#: 7395
Waltham, MA
Past

December 21, 2016 - January 6, 2020

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
TROY, MI
Past

September 23, 2016 - December 13, 2016

BIC DISTRIBUTORS, LLC

BD
CRD#: 152860
PHOENIX, AZ
Past

May 26, 2015 - July 11, 2016

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

May 26, 2015 - July 11, 2016

INCAPITAL DISTRIBUTORS LLC

BD
CRD#: 156622
DELRAY BEACH, FL
Past

January 24, 2013 - May 14, 2015

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

May 21, 2012 - January 9, 2013

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

January 18, 2012 - May 16, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

July 21, 2005 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

March 9, 2005 - July 13, 2005

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

November 25, 2002 - March 11, 2003

QUICK & REILLY, INC.

RIA
CRD#: 11217
PHILADELPHIA, PA
Past

July 29, 1998 - March 11, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY

State Registrations and Notice Filings

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

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
Michigan
(2/12/2020)
RR
Ohio
(2/10/2020)
RR
Pennsylvania
(2/7/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/28/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/19/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/6/2001
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CLARENDON INSURANCE AGENCY, INC.
CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Mailing Address
230 3rd Ave 6th Floor, Waltham, MA 02451
Phone number
(781) 790-8600
Established
Massachusetts since 03/04/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE LIFE INSURANCE COMPANYSOLE SHAREHOLDER
BLOOM, MICHAEL SCOTTDIRECTOR & SECRETARY5200070
CAREY, ELIZABETHCHIEF COMPLIANCE OFFICER4889080
JOSEPH, JAMESFINANCIAL AND OPERATIONS PRINCIPAL6576566
LAKE, COLIN CPRESIDENT AND DIRECTOR2717313
WANG, FANG LINDADIRECTOR7675208

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

CLARENDON INSURANCE AGENCY, INC.

CRD#: 7395Waltham, MA 02451

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