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Darcy L. Bergen
AE WEALTH MANAGEMENT
Mesa, AZ 85210
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CRD#: 6568462
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Professional summary
Darcy Lee Bergen is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Mesa, Arizona.
Darcy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Darcy has worked at 3 firms and has passed the Series 65 exam.
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.
1.) Clear Solutions, LLC DBA Bergen Financial Group; YES INVESTMENT RELATED; 8765 W. Kelton Lane, Peoria, AZ 85382; INSURANCE SALES; Owner; START DATE 07/2003; APPROX 40 HRS/MONTH; APPROX 30 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2.) Bergens Mission; YES INVESTMENT RELATED; 8765 W. Kelton Lane, Peoria, AZ 85382; CHARITY; Secretary/Treasurer; START DATE 09/2008; APPROX 1 HRS/MONTH; APPROX 1 HRS/MONTH DURING TRADING; Banking & Accounting. 3.) H&D Holdings A, LLC; YES INVESTMENT RELATED; 9315 W. Avenida Del Sol, Peoria, AZ 85383; Real Estate; Partner/Owner; START DATE 08/2021; APPROX 0 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; None.? 4.) H&D Holdings B, LLC; YES INVESTMENT RELATED; 9315 W. Avenida Del Sol, Peoria, AZ 85383; Real Estate; Partner/Owner; START DATE 08/2021; APPROX 0 HRS/MONTH; APPROX 0 HRS/MONTH DURING TRADING; None. 5.) NATIONAL GOLD CONSULTANTS INC. YES INVESTMENT-RELATED; 2 DIVISION ST. E., SUITE 201, BUFFALO, MN 55313; SALE OF GOLD AND SILVER COINS; INDEPENDENT CONTRACTOR; START DATE: 03/21/2022; APPROX 00 HRS/MONTH; APPROX 00 HRS/MONTH DURING TRADING; RECEIVE COMMISSION FOR THE SALE OF GOLD AND SILVER METALS.
CRS (Client Relationship Summary) - RIA
Click below to view Darcy Lee 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®
NoneExperience
Current
March 7, 2022 - Present
AE WEALTH MANAGEMENT, LLC
Office #1: 1745 South Alma School Road #275, Mesa, AZ 85210Office #2: 8765 W Kelton Ln Bldg C2, Peoria, AZ 85382RIA
CRD#: 282580
Mesa, AZ
Past
May 21, 2020 - March 1, 2022
SIMPLICITY WEALTH
RIA
CRD#: 300572
Peoria, AZ
Past
December 3, 2015 - May 12, 2020
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Peoria, AZ
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".
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 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.Highlighted states indicate IAR registrations
IAR
Arizona(3/7/2022)
IAR
California(11/13/2023)
IAR
Texas(11/13/2023)
Current Firm
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
Phone number
(866) 363-9595
Established
Firm type
Fiscal year end
# of Employees
602
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
