Erik J. Bergman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Erik Julian Bergman was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 2003. Erik had worked at 4 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2011 - January 18, 2012
COMPAK SECURITIES, INC.
September 28, 2009 - December 9, 2009
MML INVESTORS SERVICES, LLC
December 13, 2005 - February 25, 2009
COMPAK SECURITIES, INC.
December 16, 2004 - November 11, 2005
MORGAN STANLEY DW INC.
June 12, 2003 - December 11, 2003
WESTCAP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMPAK SECURITIES, INC.
CRD#: 125472 / SEC#: , 8-65804
Contact information
FINRA licenses (12 States and Territories)
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.
