TB
Thomas Bergen
SMBC NIKKO SECURITIES AMERICA
New York, NY 10172
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CRD#: 4244134
TB
Professional summary
Thomas Bergen, who also goes by Thomas Martin Bergen, is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Martin 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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Bergen'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
August 10, 2022 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172BD
CRD#: 28602
New York, NY
Past
August 5, 2016 - January 4, 2022
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
April 30, 2013 - April 28, 2016
GE CAPITAL MARKETS, INC.
BD
CRD#: 13349
NORWALK, CT
Past
October 3, 2000 - October 30, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
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(8/10/2022)
RR
Alaska(8/10/2022)
RR
Arizona(8/10/2022)
RR
Arkansas(8/10/2022)
RR
California(8/10/2022)
RR
Colorado(8/10/2022)
RR
Connecticut(8/10/2022)
RR
Delaware(8/10/2022)
RR
District of Columbia(8/10/2022)
RR
Florida(8/10/2022)
RR
Georgia(8/10/2022)
RR
Hawaii(8/10/2022)
RR
Idaho(8/10/2022)
RR
Illinois(8/10/2022)
RR
Indiana(8/10/2022)
RR
Iowa(8/10/2022)
RR
Kansas(8/10/2022)
RR
Kentucky(8/10/2022)
RR
Louisiana(8/10/2022)
RR
Maine(8/10/2022)
RR
Maryland(8/10/2022)
RR
Massachusetts(8/10/2022)
RR
Michigan(8/10/2022)
RR
Minnesota(8/10/2022)
RR
Mississippi(8/10/2022)
RR
Missouri(8/10/2022)
RR
Montana(8/10/2022)
RR
Nebraska(8/10/2022)
RR
Nevada(8/10/2022)
RR
New Hampshire(8/10/2022)
RR
New Jersey(8/10/2022)
RR
New Mexico(8/10/2022)
RR
New York(8/10/2022)
RR
North Carolina(8/10/2022)
RR
North Dakota(8/10/2022)
RR
Ohio(8/16/2022)
RR
Oklahoma(8/10/2022)
RR
Oregon(8/10/2022)
RR
Pennsylvania(8/10/2022)
RR
Rhode Island(8/10/2022)
RR
South Carolina(8/10/2022)
RR
South Dakota(8/10/2022)
RR
Tennessee(8/10/2022)
RR
Texas(8/10/2022)
RR
Utah(8/10/2022)
RR
Vermont(8/10/2022)
RR
Virginia(8/10/2022)
RR
Washington(8/10/2022)
RR
West Virginia(8/10/2022)
RR
Wisconsin(8/10/2022)
RR
Wyoming(8/10/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
Current Firm
SN
SMBC NIKKO SECURITIES AMERICA, INC.
SMBC NIKKO SECURITIES AMERICA, INC. | SUMITOMO BANK SECURITIES, INC. | SMBC SECURITIES, INC.
CRD#: 28602 / SEC#: , 8-43852
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
277 Park Avenue Fifth Floor, New York, NY 10172
Mailing Address
277 Park Avenue Fifth Floor, New York, NY 10172
Phone number
(212) 224-5300
Established
Delaware since 08/08/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC AMERICAS HOLDINGS, INC. | SHAREHOLDER | |
| ASHBY, SCOTT ALLEN | PRESIDENT, CEO, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 2883181 |
| DAVISON, RICHARD PATRICK | DIRECTOR | 4890514 |
| EISENBERG, RICHARD ALLAN | DEPUTY PRESIDENT, DIRECTOR, CO-HEAD OF COVERAGE & CAPITAL MARKETS, EXECUTIVE COMMITTEE MEMBER | 3118461 |
| ISHIKAWA, TSUKASA | DEPUTY PRESIDENT, DIRECTOR, CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 7948966 |
| KAWARA, AKIHIRO | DEPUTY HEAD OF GLOBAL MARKETS, AMERICAS, DIRECTOR, CHAIRPERSON OF THE BOARD | 7471377 |
| KEE, DAVID | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6238539 |
| KIM, SANGJOON | CHIEF RISK OFFICER, EXECUTIVE COMMITTEE MEMBER | 2545295 |
| KRANZ, AVERY H | CHIEF COMPLIANCE OFFICER, EXECUTIVE COMMITTEE MEMBER | 2795963 |
| NONAKA, MASAHITO | HEAD OF GLOBAL MARKETS, AMERICAS, DEPUTY PRESIDENT, DIRECTOR, EXECUTIVE COMMITTEE MEMBER | 7221513 |
| OISHI, SHUMPEI | DEPUTY PRESIDENT, EXECUTIVE COMMITTEE MEMBER | 6100774 |
| PIETRO, BRIAN | FINOP, PRINCIPAL OPERATIONS OFFICER, DEPUTY CHIEF OPERATING OFFICER, EXECUTIVE COMMITTEE MEMBER | 5323643 |
| TUN, NATHAN | PRINCIPAL FINANCIAL OFFICER | 5551828 |
Disclosures
| Regulatory Event | 1 |
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.
