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CRD#: 14432
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

FIRST LIBERTIES FINANCIAL is located at 2915 N. Boulevard Suite A, Tampa, FL 33602 and was first established at Florida, New York in 10/12/1983. After operating for 42 years, FIRST LIBERTIES FINANCIAL has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FIRST LIBERTIES FINANCIAL’s clients are individuals and 0% of their clients are high net worth individuals. FIRST LIBERTIES FINANCIAL has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FIRST LIBERTIES FINANCIAL are registered to handle securities or provide financial advice. The firm has 2 disclosures, 2 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FIRST LIBERTIES FINANCIAL‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FIRST LIBERTIES FINANCIAL. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for FIRST LIBERTIES FINANCIAL Comes From

Understanding the Statistics for FIRST LIBERTIES FINANCIAL and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
2

FIRM INFORMATION

Main Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Mailing Address
2915 N. Boulevard Suite A, Tampa, FL 33602
Firm Size
Small
Phone Number
(917) 639-5451
Established
New York since 10/12/1983
Firm Type
Corporation
Fiscal year end
June
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
PELION FINANCIAL GROUP, INC.OWNER
BERGMAN, HILARY GUYDIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER1834738

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at FIRST LIBERTIES FINANCIAL

HB

Hilary Guy Bergman

Hilary G Bergman, Hilary Bergman
IAR
RR
CRD#: 1834738
Location:
Tampa, FL 33602
Company:
PELION INVESTMENT ADVISORS, INC.
Disclosures:
Experience:
37 years
View Profile
TC

Thomas James Carstens

IAR
RR
CRD#: 2141430
Location:
St. Augustine, FL
Company:
PELION INVESTMENT ADVISORS, INC.
Disclosures:
Experience:
34 years
View Profile
SB

Sevasti Balafas

IAR
RR
CRD#: 4884215
CPWA®: Certified Private Wealth Advisor
Location:
New York, NY 10007
Company:
GOALVEST ADVISORY LLC
Disclosures:
Experience:
16 years
View Profile
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