JB
James Bergis
AUTHENTIKOS WEALTH ADVISORY LLC
New Braunfels, TX
Some features on this profile are disabled
CRD#: 7224789
JB
Professional summary
James Bergis is a registered financial advisor currently at AUTHENTIKOS WEALTH ADVISORY LLC located in New Braunfels, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 1 firm 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.
Authentikos Financial & Insurance Services, LLC (previously Regent Financial & Insurance Services) 1295 East Dunne Avenue, Suite 215, Morgan Hill CA 95037. Yes, is investment-related. Insurance Agent-Start Date 01/2014. 80 hours per month; 20 hours during trading hours. Bergis Builds. 3800 Blue Oaks Rd, Gilroy, CA 95020. Not investment-related. Woodworking and metal fabrications business. I am the Owner and operator of the small business used to sell my hobby creations. Began May 2019. 45 hours per month; 0 hours of this business during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Bergis'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
February 24, 2020 - Present
AUTHENTIKOS WEALTH ADVISORY LLC
RIA
CRD#: 286646
New Braunfels, TX
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
AUTHENTIKOS WEALTH ADVISORY LLC
AUTHENTIKOS WEALTH ADVISORY LLC | REGENT WEALTH ADVISORY, LLC
CRD#: 286646 / SEC#: 801-119920
RIA
Registered Investment Advisory firm - (12/3/2020 Approved)California
Registered Investment Advisory firm - (2/19/2021 Terminated)Idaho
Registered Investment Advisory firm - (1/30/2021 Terminated)Nevada
Registered Investment Advisory firm - (2/22/2021 Terminated)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
California(2/24/2020)
IAR
Texas(1/25/2021)
Current Firm
AW
AUTHENTIKOS WEALTH ADVISORY LLC
AUTHENTIKOS WEALTH ADVISORY LLC | REGENT WEALTH ADVISORY, LLC
CRD#: 286646 / SEC#: 801-119920
RIA
Registered Investment Advisory firm - (12/3/2020 Approved)California
Registered Investment Advisory firm - (2/19/2021 Terminated)Idaho
Registered Investment Advisory firm - (1/30/2021 Terminated)Nevada
Registered Investment Advisory firm - (2/22/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1295 East Dunne Avenue Suite 215, Morgan Hill, CA 95037
Mailing Address
Phone number
(877) 457-4567
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 154,808,575 |
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.
