EB
Eric J. Bergenn
KESTRA ADVISORY SERVICES
West Hartford, CT 06107
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CRD#: 6251969
EB
Professional summary
Eric James Bergenn is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in West Hartford, Connecticut and KESTRA INVESTMENT SERVICES, LLC located in West Hartford, Connecticut.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Eric has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Name: BERGENN FINANCIAL GROUP POSITION: Registered Rep NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/08/2022 ADDRESS: 45 South Main St, STE 203, West Hartford CT 06107 DESCRIPTION: Registered Rep Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/08/2022 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735 DESCRIPTION: IAR Name: WEST HARTFORD CHAMBER OF COMMERCE POSITION: Member, Board of Directors NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2025 ADDRESS: 948 Farmington Ave, West Hartford CT 06107, United States DESCRIPTION: Attend monthly meetings to discuss the organization and direct it's CEO and subsequently it's staff on operations of the organization and it's committees.
CRS (Client Relationship Summary) - RIA
Click below to view Eric James Bergenn'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®
NoneExperience
Current
December 8, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 45 South Main St Suite 203, West Hartford, CT 06107RIA
CRD#: 283330
West Hartford, CT
Current
December 8, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 45 South Main Street Suite 203, West Hartford, CT 06107BD
CRD#: 42046
West Hartford, CT
Past
October 25, 2018 - December 13, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WEST HARTFORD, CT
Past
October 25, 2018 - December 13, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WEST HARTFORD, CT
Past
February 22, 2017 - October 22, 2018
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
East Hartford, CT
Past
January 24, 2014 - October 22, 2018
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
E. HARTFORD, CT
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(12/8/2022)
RR
Connecticut(12/8/2022)
IAR
Connecticut(12/8/2022)
RR
Massachusetts(12/8/2022)
RR
Minnesota(5/2/2025)
RR
New Jersey(12/8/2022)
RR
New York(12/8/2022)
RR
South Carolina(12/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
