John C. Bergeron
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.
John Carl Bergeron was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1975. John had worked at 12 firms and has passed the Series 63, Series 7TO, SIE and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2022 - January 23, 2026
B. RILEY WEALTH MANAGEMENT
June 24, 2015 - July 22, 2022
NATIONAL SECURITIES CORPORATION
March 26, 2010 - June 23, 2015
JHS CAPITAL ADVISORS, LLC
June 8, 2006 - October 29, 2009
GUNNALLEN FINANCIAL, INC
June 2, 2006 - March 30, 2010
GUNNALLEN FINANCIAL, INC
March 21, 2003 - June 5, 2006
STIFEL INDEPENDENT ADVISORS, LLC
March 7, 1996 - June 5, 2006
STIFEL INDEPENDENT ADVISORS, LLC
February 3, 1995 - March 8, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 14, 1992 - February 28, 1995
DEPOSIT GUARANTY INVESTMENTS, INC.
March 18, 1987 - October 14, 1992
J.C. BRADFORD & CO.
April 3, 1985 - February 20, 1987
SOUTHEASTERN CAPITAL GROUP, INC.
January 31, 1980 - April 2, 1985
UBS FINANCIAL SERVICES INC.
August 7, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
December 2, 1975 - August 23, 1979
MUNICIPAL SECURITIES, INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 40
Date: 12/19/1976
Registered Principal ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 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.
