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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brandon? Claim Your ProfileBrandon Luke Bergstrom is a financial advisor who has been in the industry since February 1998. Brandon Luke Bergstrom is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Massachusetts, Connecticut, and Oklahoma. Previously, Brandon Luke Bergstrom was registered with Morgan Stanley DW Inc. and Salomon Smith Barney Inc.. Brandon Luke Bergstrom is licensed to conduct business in a total of 32 states. Brandon Luke Bergstrom has passed the SIE, Series 7, Series 31, Series 63, and Series 65 exams. Brandon Luke Bergstrom has experience in providing investment advice for a variety of clients including individuals, businesses, corporations, pension plans, investment companies, and charitable organizations.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
10/10/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BEVERLY MA)
NY
02/27/2001 - 02/21/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
01/22/1998 - 01/22/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 02/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 01/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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