Albert R. Bergman
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.
Albert Robin Bergman, who also goes by Albert R Bergman, Albert Robin Bergman, Al Bergman, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1981. Albert had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2019 - February 22, 2021
ALLSTATE FINANCIAL SERVICES, LLC
January 13, 2017 - April 5, 2018
SIGNATOR INVESTORS, INC.
December 3, 2014 - April 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 2013 - November 4, 2014
MML INVESTORS SERVICES, LLC
April 18, 2011 - March 1, 2013
LPL FINANCIAL LLC
January 18, 2008 - April 19, 2011
MML INVESTORS SERVICES, LLC
October 18, 2005 - January 10, 2008
NYLIFE SECURITIES LLC
January 17, 2003 - September 28, 2005
JANNEY MONTGOMERY SCOTT LLC
November 25, 2002 - January 27, 2003
QUICK & REILLY, INC.
August 1, 2001 - January 27, 2003
QUICK & REILLY, INC.
June 23, 2000 - July 24, 2001
MORGAN STANLEY DW INC.
February 16, 2000 - June 27, 2000
EQUITABLE ADVISORS, LLC
November 2, 1994 - February 6, 1995
FORESTERS FINANCIAL SERVICES, INC.
May 14, 1992 - October 12, 1994
GUARDIAN INVESTOR SERVICES LLC
May 10, 1991 - February 11, 1992
FLAGSHIP SECURITIES, INC.
November 4, 1987 - September 26, 1988
GREEN HILL FINANCIAL SERVICE CORPORATION
September 1, 1981 - July 29, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 1, 1981 - July 29, 1982
EQUITABLE ADVISORS, 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
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
