Michele Y. Bergeron

LEE FINANCIAL COMPANY

Dallas, TX 75206

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CRD#: 4459788

Professional summary

Michele Yvette Bergeron, CFP®, who also goes by Michele Yvette Bergeron Ms., is a registered financial advisor currently at LEE FINANCIAL COMPANY, LLC located in Dallas, Texas.

Michele is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Michele has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michele Yvette Bergeron Ms.

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.

ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: LA FITNESS POSITION: SPIN INSTRUCTOR START DATE: 6/22/2018 ADDRESS: 5500 Dallas, TX DETAILS: TEACHING SPIN CYCLING CLASSES. HOURS DEDICATED (per month unless otherwise indicated) OUTSIDE TRADING HOURS: 7 HOURS DURING TRADING: 0 INVESTMENT RELATED: NO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michele Yvette Bergeron'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

March 18, 2020 - Present

LEE FINANCIAL COMPANY, LLC

Office #1: 8350 N. Central Expressway Suite 1800, Dallas, TX 75206

RIA

CRD#: 105910

Dallas, TX

Past

August 21, 2018 - January 29, 2020

LAKE POINT WEALTH MANAGEMENT, LLC

RIA

CRD#: 170398

HEATH, TX

Past

November 9, 2015 - August 14, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

DALLAS, TX

Past

October 28, 2013 - August 14, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

DALLAS, TX

Past

April 19, 2007 - August 21, 2009

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

November 2, 2006 - April 13, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANO, TX

Past

November 2, 2006 - April 13, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANO, TX

Past

December 5, 2001 - September 29, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DALLAS, TX

Past

November 16, 2001 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 16, 2001 - September 29, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DALLAS, 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".

LEE FINANCIAL COMPANY, LLC

LEE FINANCIAL COMPANY | LEE FINANCIAL CORPORATION | LEE FINANCIAL CORP | LEE FINANCIAL COMPANY, LLC

CRD#: 105910 / SEC#: 801-10722

RIA

Registered Investment Advisory firm - (4/26/1975 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(3/18/2020)

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

State Security Law Exam

Series 63

Date: 11/6/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/4/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/2/2007

General Securities Principal Examination

Current Firm

LEE FINANCIAL COMPANY, LLC

LEE FINANCIAL COMPANY | LEE FINANCIAL CORPORATION | LEE FINANCIAL CORP | LEE FINANCIAL COMPANY, LLC

CRD#: 105910 / SEC#: 801-10722

RIA

Registered Investment Advisory firm - (4/26/1975 Approved)

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Contact information

Main Address

8350 N. Central Expressway Suite 1800, Dallas, TX 75206

Mailing Address

Phone number

(972) 960-1001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFC ADV PART 2A - 3.2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	1,677
AUM (Assets Under Management)	$ 1,496,621,112

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/23/2023	Cover Page	Report
01/23/2023	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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Michele Y. Bergeron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michele Yvette Bergeron's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAKE POINT WEALTH MANAGEMENT, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

1ST GLOBAL CAPITAL CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LEE FINANCIAL COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/2013

Series 66

Date: 12/4/2001

SIE

Date: 8/14/2018

Series 7

Date: 10/28/2013

Series 24

Date: 10/2/2007

Current Firm

LEE FINANCIAL COMPANY, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LEE FINANCIAL COMPANY, LLC

TRUST BUT VERIFY

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