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CB

Christopher E. Bergstrom

CABRERA CAPITAL MARKETS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 5004390
CB

Professional summary

Christopher Earl Bergstrom, who also goes by Christopher Earl Bostrom, Christopher Bostrom, Christopher Bergstrom, is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 5 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Earl Bostrom | Christopher Bostrom | Christopher Bergstrom

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.
Airports Council International - North America / 1615 L Street NW, Suite 300, Washington DC 20036 / United States / https://airportscouncil.org// Association (e.g. Trade or Industry, Sport) / Transport / ACI-NA advocates for policies and provides services that strengthen the ability of commercial airports to serve their passengers, customers and communities. ACI-NA professional staff in the government affairs, legal, environment, safety, security, operations and technical departments, works to ensure that legislation and regulations enacted in Washington help airports operate more safely and efficiently. / Advisor or advisory group member if advice given may influence an officer/board / Serve as a member of the Finance Committee Steering Group to inform strategic discussions about airport finance topics at future industry events / Start Date 10/2/2019

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Earl Bergstrom'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®
None

Experience

Current

February 9, 2024 - Present

CABRERA CAPITAL MARKETS, LLC

Office #1: 1230 Avenue Of The Americas Ste. 1902, New York, NY 10020
BD
CRD#: 10081
NEW YORK, NY
Past

October 26, 2021 - January 31, 2024

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
New York, NY
Past

April 20, 2021 - November 1, 2023

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 30, 2018 - January 31, 2024

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
New York, NY
Past

October 1, 2008 - May 30, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 17, 2005 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New York
(2/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/18/2017
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CABRERA CAPITAL MARKETS, LLC
CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Mailing Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Phone number
(312) 236-8888
Established
Delaware since 04/10/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CABRERA CAPITAL, LLCOWNER
RCF-CABRERA HOLDINGS, INC.OWNER
AGUILAR, ROBERT LUISPRESIDENT4860643
CABRERA, MARTIN [NMN] JRCEO2504167
WORF, JEFF ALLENCHIEF COMPLIANCE OFFICER1416591

Disclosures

Regulatory Event4

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

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081New York, NY 10020

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