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JB

Jeremy A. Bergman

ARES MANAGEMENT CAPITAL MARKETS LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 3260425
JB

Professional summary

Jeremy Adam Bergman, who also goes by Jeremy A Bergman, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in New York, New York.

Jeremy is registered as a RR (Registered Representative) and started their career in finance in 2000. Jeremy has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeremy A Bergman

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 Jeremy Adam Bergman's CRS (Customer Relationship Summary).
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

May 14, 2019 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 245 Park Avenue - 44th Floor, New York, NY 10167
BD
CRD#: 166219
NEW YORK, NY
Past

May 2, 2012 - October 18, 2018

APOLLO GLOBAL SECURITIES, LLC

BD
CRD#: 153502
NEW YORK, NY
Past

January 3, 2006 - April 12, 2012

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

July 1, 2002 - August 7, 2002

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

March 2, 2001 - June 17, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

May 18, 2000 - December 7, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
Alabama
(6/12/2019)
RR
Alaska
(6/6/2019)
RR
Arizona
(6/13/2019)
RR
Arkansas
(6/7/2019)
RR
California
(5/15/2019)
RR
Colorado
(5/15/2019)
RR
Connecticut
(5/16/2019)
RR
Delaware
(6/21/2019)
RR
District of Columbia
(6/18/2019)
RR
Florida
(6/10/2019)
RR
Georgia
(6/18/2019)
RR
Hawaii
(6/10/2019)
RR
Idaho
(5/15/2019)
RR
Illinois
(6/13/2019)
RR
Indiana
(5/15/2019)
RR
Iowa
(5/17/2019)
RR
Kansas
(5/15/2019)
RR
Kentucky
(6/10/2019)
RR
Louisiana
(6/7/2019)
RR
Maine
(5/15/2019)
RR
Maryland
(5/20/2019)
RR
Massachusetts
(5/15/2019)
RR
Michigan
(6/17/2019)
RR
Minnesota
(5/16/2019)
RR
Mississippi
(5/16/2019)
RR
Missouri
(5/15/2019)
RR
Montana
(6/10/2019)
RR
Nebraska
(5/15/2019)
RR
Nevada
(5/28/2019)
RR
New Hampshire
(5/16/2019)
RR
New Jersey
(6/26/2019)
RR
New Mexico
(6/7/2019)
RR
New York
(6/11/2019)
RR
North Carolina
(5/15/2019)
RR
North Dakota
(6/17/2019)
RR
Ohio
(5/15/2019)
RR
Oklahoma
(5/15/2019)
RR
Oregon
(5/29/2019)
RR
Pennsylvania
(5/16/2019)
RR
Rhode Island
(5/16/2019)
RR
South Carolina
(5/16/2019)
RR
South Dakota
(5/16/2019)
RR
Tennessee
(6/6/2019)
RR
Texas
(6/10/2019)
RR
Utah
(5/15/2019)
RR
Vermont
(6/7/2019)
RR
Virginia
(6/7/2019)
RR
Washington
(5/15/2019)
RR
West Virginia
(6/12/2019)
RR
Wisconsin
(5/17/2019)
RR
Wyoming
(5/15/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/28/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/17/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/18/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

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

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219New York, NY 10167

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