Michael G. Bergum
STRATEGIC ADVISERS LLC | Financial Consultant
LANCASTER, NY
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CRD#: 5232879
Professional summary
Michael Gary Bergum, CFP®, who also goes by Michael Gary Bergum, Michael Bergum, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Lancaster, New York and FIDELITY BROKERAGE SERVICES LLC located in Rochester, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Biography
My goal is to help fellow Western New Yorkers gain the peace of mind that comes with having a sound financial plan. My team's flexible planning process helps our clients to confidently navigate through life's most significant events & challenges. We strive to build long lasting, multi-generational relationships that our clients are proud to share with their families and friends.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Socially Responsible Investing
Tax Planning
Investment Planning
Retirement Income Management
Comprehensive Financial Planni...
Social Security Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Michael Gary Bergum | Michael Bergum
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 Michael Gary Bergum'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®
CFP®
Start date: 2018
Education
SUNY at Buffalo
Bachelor of Business Administration - Marketing
2002
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
LANCASTER, NY
Current
November 17, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 2780 Monroe Ave Suite 201, Rochester, NY 14618BD
CRD#: 7784
Rochester, NY
Past
November 25, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
LANCASTER, NY
Past
September 15, 2015 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
AMHERST, NY
Past
September 14, 2015 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
AMHERST, NY
Past
July 11, 2012 - July 16, 2012
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
WILLIAMSVILLE, NY
Past
July 11, 2012 - August 31, 2015
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
WILLIAMSVILLE, NY
Past
August 27, 2010 - July 11, 2012
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
WILLIAMSVILLE, NY
Past
November 20, 2007 - July 11, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
WILLIAMSVILLE, NY
Past
October 20, 2006 - October 16, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
STUART, FL
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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
Colorado(11/4/2024)
RR
District of Columbia(2/10/2021)
RR
Florida(11/24/2020)
RR
Indiana(2/17/2023)
RR
Kentucky(7/21/2023)
RR
Massachusetts(6/4/2021)
RR
Michigan(5/6/2022)
RR
Nevada(1/4/2025)
RR
New Jersey(10/8/2021)
RR
New York(11/24/2020)
IAR
New York(3/31/2025)
RR
North Carolina(6/4/2021)
RR
Ohio(3/26/2023)
RR
Pennsylvania(11/30/2021)
RR
South Carolina(12/7/2023)
RR
Texas(11/24/2020)
IAR
Texas(3/31/2025)
RR
Utah(9/29/2023)
RR
Virginia(9/16/2022)
RR
Wisconsin(6/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Lancaster, NYTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
