Joseph T. Bergen
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES | Director, Financial Planning
Phoenix, AZ 85016
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CRD#: 4924401
Professional summary
Joseph Travis Bergen, who also goes by Joseph T Bergen, Joseph Bergen, is a registered financial advisor currently at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located in Phoenix, Arizona.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Biography
I have been helping my clients achieve their financial goals since 2002, working with them on all facets of their financial well-being. As a financial planner it is my passion to educate and coach my clients through the complex financial situations that they face in a way that is customized to them. Outside of work I am an avid technology enthusiast and consumer of all forms of entertainment. There is nothing better than a movie night with my wife and my son.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph T 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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Travis Bergen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Travis 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®
NoneEducation
National University
Experience
Current
August 22, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3131 E Camelback Road Suite 420, Phoenix, AZ 85016RIA
BD
CRD#: 20472
Phoenix, AZ
Current
August 18, 2023 - Present
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Office #1: 3131 E Camelback Road Suite 420, Phoenix, AZ 85016RIA
BD
CRD#: 20472
Phoenix, AZ
Past
January 10, 2022 - August 14, 2023
EDELMAN FINANCIAL ENGINES
RIA
CRD#: 104510
VIRGINIA BEACH, VA
Past
August 17, 2018 - December 16, 2021
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
TEMPE, AZ
Past
August 17, 2018 - December 16, 2021
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
TEMPE, AZ
Past
June 12, 2017 - October 4, 2017
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
SACRAMENTO, CA
Past
June 12, 2017 - October 4, 2017
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
SACRAMENTO, CA
Past
April 3, 2017 - May 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SCOTTSDALE, AZ
Past
March 31, 2017 - May 12, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SCOTTSDALE, AZ
Past
April 9, 2013 - November 17, 2016
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
PHOENIX, AZ
Past
April 8, 2013 - November 17, 2016
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
PHOENIX, AZ
Past
September 8, 2011 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
EL DORADO HILLS, CA
Past
September 7, 2011 - February 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CARMICHAEL, CA
Past
January 3, 2011 - August 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ELK GROVE, CA
Past
January 3, 2011 - August 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ELK GROVE, CA
Past
March 20, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ELK GROVE, CA
Past
December 15, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ELK GROVE, CA
Past
March 19, 2008 - September 15, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SACRAMENTO, CA
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".
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.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(8/22/2023)
IAR
Alabama(8/14/2025)
RR
Alaska(8/25/2023)
RR
Arizona(8/29/2023)
IAR
Arizona(3/20/2024)
RR
Arkansas(8/25/2023)
RR
California(8/21/2023)
RR
Colorado(8/22/2023)
RR
Connecticut(8/21/2023)
RR
Delaware(8/23/2023)
RR
District of Columbia(8/30/2023)
RR
Florida(8/21/2023)
RR
Georgia(8/23/2023)
RR
Hawaii(8/22/2023)
RR
Idaho(8/22/2023)
RR
Illinois(8/22/2023)
RR
Indiana(8/22/2023)
RR
Iowa(8/21/2023)
RR
Kansas(8/21/2023)
RR
Kentucky(8/21/2023)
RR
Louisiana(8/22/2023)
RR
Maine(8/21/2023)
RR
Maryland(8/23/2023)
RR
Massachusetts(10/3/2023)
RR
Michigan(8/22/2023)
RR
Minnesota(8/21/2023)
RR
Mississippi(8/21/2023)
RR
Missouri(8/18/2023)
RR
Montana(8/22/2023)
RR
Nebraska(8/18/2023)
RR
Nevada(8/24/2023)
RR
New Hampshire(8/28/2023)
RR
New Jersey(8/21/2023)
RR
New Mexico(8/22/2023)
RR
New York(8/22/2023)
RR
North Carolina(8/21/2023)
RR
North Dakota(8/28/2023)
RR
Ohio(8/18/2023)
RR
Oklahoma(8/21/2023)
RR
Oregon(8/23/2023)
RR
Pennsylvania(8/21/2023)
RR
Rhode Island(8/22/2023)
RR
South Carolina(8/24/2023)
RR
South Dakota(8/22/2023)
RR
Tennessee(8/21/2023)
RR
Texas(8/21/2023)
IAR
Texas(8/14/2025)
RR
Utah(8/22/2023)
RR
Vermont(8/21/2023)
IAR
Vermont(8/14/2025)
RR
Virginia(8/21/2023)
RR
Washington(8/21/2023)
RR
West Virginia(8/21/2023)
RR
Wisconsin(8/21/2023)
RR
Wyoming(8/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/5/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
ADVICE & PLANNING SERVICES | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC | TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, INC. | TIAA-CREF BROKERAGE SERVICES | TIAA-CREF ADVICE AND PLANNING SERVICES | COLLEGE RETIREMENT EQUITIES FUND | ADVICE AND PLANNING SERVICES
CRD#: 20472 / SEC#: 801-63550, 8-44454
RIA
Registered Investment Advisory firm - SEC (9/24/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
730 Third Avenue, New York, NY 10017-3206
Mailing Address
8500 Andrew Carnegie Boulevard Mail Stop Ssc/c2/08, Charlotte, NC 28262-8500
Phone number
(704) 988-3565
Established
Delaware since 01/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,319
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA | SOLE OWNER OF APPLICANT | |
| ABBOTT, ROSS HAMLET | PRESIDENT, CEO (INTERIM), CHIEF OPERATING OFFICER, ELECTED MANAGER | 2756063 |
| BARNHILL, HELEN GWYN | CHIEF LEGAL OFFICER | 2574877 |
| BELLUCCI, RAYMOND JOHN | ELECTED MANAGER | 1807977 |
| HEASLIP, DEREK JAMES | ELECTED MANAGER | 6318596 |
| INTIHAR, JEREMY ROSS | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 5040823 |
| LEWIS, BENJAMIN HERBERT | ELECTED MANAGER | 1687894 |
| MANGANO, JENNIFER LYNN | CHIEF FINANCIAL OFFICER | 7659359 |
| MUKHERJEE, NILADRI | ELECTED MANAGER | 5227234 |
| SARAVANAN, SHANKAR | VICE PRESIDENT, ELECTED MANAGER | 7789140 |
| STICKROD, CHRISTOPHER EUGENE | ELECTED MANAGER | 4627958 |
| WEINSTEIN, SCOTT WILLIAM | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 4324014 |
Regulatory assets under management
| Total Number of Accounts | 72,807 |
| AUM (Assets Under Management) | $ 34,343,329,152 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/13/2023 | ||
| 03/21/2023 |
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
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
Director, Financial PlanningCRD#: 20472Phoenix, AZ 85016TRUST BUT VERIFY
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