Brandon Bergeron
Professional summary
Brandon Bergeron, who also goes by Brandon A Bergeron, Brandon Allen Bergeron, Brandon Bergeron, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in New Orleans, Louisiana.
Brandon is registered as a RR (Registered Representative) and started their career in finance in 2019. Brandon has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brandon Bergeron's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 26, 2026 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 701 Poydras Street, New Orleans, LA 70139October 3, 2025 - May 21, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
October 3, 2025 - May 21, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
February 12, 2025 - June 13, 2025
COOKSON PEIRCE WEALTH MANAGEMENT
August 28, 2023 - January 27, 2025
WEALTHVIEW CAPITAL, LLC
July 8, 2022 - July 24, 2023
CRESCENT STERLING LTD.
October 4, 2019 - May 13, 2022
AE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/26/2026)
(5/26/2026)
Exams
Series 7TO
Date: 10/2/2025
General Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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
CETERA INVESTMENT SERVICES LLC
CRD#: 15340New Orleans, LA 70139TRUST BUT VERIFY
Monitor Brandon Bergeron
Get automatic monthly alerts on:
