Robert J. Bergamini
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Joseph Bergamini was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2006 - August 18, 2014
RICE FINANCIAL PRODUCTS COMPANY
August 5, 2003 - May 31, 2006
M. R. BEAL & COMPANY
January 29, 2001 - August 1, 2003
LUMENT SECURITIES, LLC
August 27, 1998 - January 30, 2001
ADVEST, INC.
April 24, 1996 - August 27, 1998
BANC ONE CAPITAL MARKETS, INC.
August 23, 1994 - April 24, 1996
ADVEST, INC.
May 29, 1990 - August 31, 1994
R.D. WHITE & CO., INC.
November 7, 1989 - May 3, 1990
L. F. ROTHSCHILD & CO. INCORPORATED
February 22, 1980 - October 12, 1989
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RICE FINANCIAL PRODUCTS COMPANY
CRD#: 21606 / SEC#: , 8-39085
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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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