Mark A. Bergeron

WLFB

Bellevue, WA

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CRD#: 839130

Professional summary

Mark Allen Bergeron, CFP®, who also goes by Mark Bergeron, is a registered financial advisor currently at WLFB INC located in Bellevue, Washington and SMART PORTFOLIOS, LLC located in Bellevue, Washington.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1977. Mark has worked at 16 firms and has passed the Series 63, Series 65, Series 6, Series 7, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Bergeron

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)INSURANCE BROKERAGE, START DATE 7/1997, I DEVOTE 40 HRS/MO., MY DUTIES ARE INSURANCE BROKERAGE, SALES, LIFE, DISABILITY, ETC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Bergeron'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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

December 5, 2014 - Present

WLFB INC

RIA

CRD#: 172296

Bellevue, WA

Current

May 6, 2019 - Present

SMART PORTFOLIOS, LLC

Office #2: 17849 Ballinger Way Ne, Lake Forest Park, WA 98155

RIA

CRD#: 131342

Bellevue, WA

Past

July 12, 2006 - February 15, 2008

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

KIRKLAND, WA

Past

January 1, 2005 - July 11, 2006

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ORANGE, CA

Past

June 3, 2003 - December 5, 2014

THE ADVISOR SOURCE, INC.

RIA

CRD#: 117162

BOTHELL, WA

Past

January 1, 2000 - April 30, 2003

ICM ASSET MANAGEMENT INC

RIA

CRD#: 105046

SPOKANE, WA

Past

September 24, 1997 - August 18, 1998

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 24, 1994 - July 11, 1997

NCM SECURITIES, INC.

CRD#: 35186

SPOKANE, WA

Past

April 2, 1992 - April 5, 1994

PACIFIC HARBOR SECURITIES, INC.

CRD#: 8755

HIGHLAND, UT

Past

November 21, 1988 - May 5, 1992

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

Past

March 22, 1988 - November 29, 1988

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - April 5, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 9, 1983 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

November 24, 1982 - June 10, 1983

QUANTUM SECURITIES, INC.

CRD#: 10174

Past

November 6, 1978 - September 30, 1979

WAMU INVESTMENTS, INC.

CRD#: 599

Past

June 28, 1977 - October 22, 1982

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

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".

SMART PORTFOLIOS, LLC

SMART PORTFOLIOS, LLC | SWAN STRATEGIES, LLC | STAR INVESTMENT ADVISORS, LLC | SMART PORTFOLIOS, LLC DBA SWAN STRATEGIES, LLC

CRD#: 131342 / SEC#: 801-67772

RIA

Registered Investment Advisory firm - (5/11/2007 Approved)

Washington

Registered Investment Advisory firm - (11/3/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(12/5/2014)

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

Series 63

Date: 8/21/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/25/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 12/28/2004

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 6/25/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/17/1994

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SMART PORTFOLIOS, LLC

SMART PORTFOLIOS, LLC | SWAN STRATEGIES, LLC | STAR INVESTMENT ADVISORS, LLC | SMART PORTFOLIOS, LLC DBA SWAN STRATEGIES, LLC

CRD#: 131342 / SEC#: 801-67772

RIA

Registered Investment Advisory firm - (5/11/2007 Approved)

Washington

Registered Investment Advisory firm - (11/3/2008 Terminated)

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Contact information

Main Address

17849 Ballinger Way Ne, Lake Forest Park, WA 98155

Mailing Address

Phone number

(206) 686-3636

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMART PORTFOLIOS ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	470
AUM (Assets Under Management)	$ 202,918,930

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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Advisor Monitoring

Firm Stability Insights

Mark A. Bergeron

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Allen Bergeron's CRS (Customer Relationship Summary).

Certified licenses

Experience

SMART PORTFOLIOS, LLC

PACIFIC WEST SECURITIES, INC.

CROWN CAPITAL SECURITIES, L.P.

THE ADVISOR SOURCE, INC.

ICM ASSET MANAGEMENT INC

LOCUST STREET SECURITIES, INC.

NCM SECURITIES, INC.

PACIFIC HARBOR SECURITIES, INC.

DERAND/PENNINGTON/BASS, INC.

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

QUANTUM SECURITIES, INC.

WAMU INVESTMENTS, INC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

SMART PORTFOLIOS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/2006

Series 65

Date: 5/25/1993

Series 6

Date: 12/28/2004

Series 7

Date: 11/20/1982

Series 1

Date: 6/25/1977

Series 26

Date: 2/17/1994

Current Firm

SMART PORTFOLIOS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMART PORTFOLIOS, LLC

TRUST BUT VERIFY

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