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SB

Sam Bergen

FRONTCOURT SECURITIES LLC
Jupiter, FL 33458
Some features on this profile are disabled
CRD#: 6215887
SB

Professional summary

Sam Bergen is a registered financial professional currently at FRONTCOURT SECURITIES LLC located in Jupiter, Florida.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2017. Sam has worked at 1 firm and has passed the Series 63, SIE, Series 79, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sam 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®
None

Experience

Current

November 14, 2017 - Present

FRONTCOURT SECURITIES LLC

Office #1: 6671 W. Indiantown Road Suite 50-102, Jupiter, FL 33458
BD
CRD#: 283590
Jupiter, FL

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
Florida
(3/16/2022)
RR
New Jersey
(12/21/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 12/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/5/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/14/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/29/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTCOURT SECURITIES LLC
FRONTCOURT SECURITIES LLC

CRD#: 283590 / SEC#: , 8-69764

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

Main Address
6671 W. Indiantown Road Suite 50-102, Jupiter, FL 33458
Mailing Address
6671 W. Indiantown Road Suite 50-102, Jupiter, FL 33458
Phone number
(908) 955-5815
Established
Delaware since 11/30/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FRONTCOURT GROUP, LLCPARENT COMPANY
BERGEN, SAMCHIEF COMPLIANCE OFFICER6215887
BROWN, SCOTTFINOP AND CHIEF FINANCIAL OFFICER6694802
SAWICKI, ROBERT MICHAELCHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/CHIEF LEGAL OFFICER5275618

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

FRONTCOURT SECURITIES LLC

CRD#: 283590Jupiter, FL 33458

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