Nicholas A. Albert

BERGER FINANCIAL GROUP

Sun City, AZ 85375

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CRD#: 6782102

Professional summary

Nicholas A Albert, who also goes by Nick A Albert, is a registered financial advisor currently at BERGER FINANCIAL GROUP located in Sun City, Arizona.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Nicholas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick A Albert

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)Desert Willow Woodworks, LLC., 31332 N 137th Ln, Peoria, AZ, 08/01/88, NIR, Owner/operator, woodworking, 20 hours/wk- 0 hours during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas A Albert's CRS (Customer Relationship Summary).

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 30, 2021 - Present

BERGER FINANCIAL GROUP

Office #1: 13517 W Camino Del Sol, Sun City, AZ 85375

RIA

CRD#: 308174

Sun City, AZ

Past

February 26, 2021 - November 5, 2021

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Sun City West, AZ

Past

December 11, 2019 - November 5, 2021

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Sun City West, 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".

BERGER FINANCIAL GROUP

CRD#: 308174 / SEC#: 801-118923

RIA

Registered Investment Advisory firm - (6/16/2020 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
(11/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/13/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/31/2019

Securities Industry Essentials Examination

Current Firm

BERGER FINANCIAL GROUP

CRD#: 308174 / SEC#: 801-118923

RIA

Registered Investment Advisory firm - (6/16/2020 Approved)

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Contact information

Main Address

1695 State Hwy 169, Plymouth, MN 55441

Mailing Address

Phone number

(763) 746-2666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BERGER FINANCIAL GROUP ADV PART 2A 2024 (2/20/2025)

Regulatory assets under management

Total Number of Accounts	10,333
AUM (Assets Under Management)	$ 2,500,753,183

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.

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Nicholas A. Albert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas A Albert's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERGER FINANCIAL GROUP

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

BERGER FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/13/2021

Series 7TO

Date: 12/11/2019

SIE

Date: 7/31/2019

Current Firm

BERGER FINANCIAL GROUP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BERGER FINANCIAL GROUP

TRUST BUT VERIFY

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