John C. Bergeron
Professional summary
John Carl Bergeron is a registered financial advisor currently at B. RILEY WEALTH MANAGEMENT located in Natchez, Mississippi.
John is registered as a RR (Registered Representative) and started their career in finance in 1975. John has 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) - BD
Click below to view John Carl Bergeron's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 507 Franklin Street, Natchez, MS 39120June 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
(7/22/2022)
(7/22/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 40
Date: 12/19/1976
Registered Principal ExaminationFINRA
Current 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 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Natchez, MS 39120TRUST BUT VERIFY
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