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Albert William Bergmann

Osaic Institutions, Inc.

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About Albert William Bergmann

Albert Bergmann is a financial professional with over 25 years of experience in the industry. Albert is a Registered Representative and Investment Adviser Representative. Albert currently works for Osaic Institutions, Inc., a firm based in Meriden, CT. Osaic Institutions, Inc. provides services including financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for individuals.

Firm Information

Albert Bergmann is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Albert Bergmann’s Registration & Firm History

NY

07/14/2021 - Present

Osaic Institutions, Inc. (Bayside NY)

NY

03/03/2016 - 07/27/2016

M&T SECURITIES, INC. (NEW YORK NY)

NY

01/24/2012 - 02/26/2016

ESSEX NATIONAL SECURITIES, LLC (FLUSHING NY)

NY

02/02/2010 - 01/06/2012

INVESTORS CAPITAL CORP. (FOREST HILLS NY)

NY

12/05/2008 - 02/05/2010

CHASE INVESTMENT SERVICES CORP. (QUEENS NY)

NY

01/01/2005 - 11/17/2008

HSBC SECURITIES (USA) INC. (BRONX NY)

NY

12/12/2001 - 01/01/2005

HSBC BROKERAGE (USA) INC. (NEW YORK NY)

NY

07/15/1997 - 12/11/2001

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NY

10/04/1996 - 02/19/1997

D. H. BLAIR & CO., INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/04/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/11/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/05/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 04/01/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/08/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/03/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Albert William Bergmann. Review regulatory record here.
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