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Charles Henry Bergamo

Northwestern Mutual Investment Services, LLC

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About Charles Henry Bergamo

Charles Bergamo is a registered investment advisor representative with Northwestern Mutual Investment Services, LLC. Charles is registered in 18 states and the District of Columbia. Charles began his career in the financial services industry in 1996. He has been with Northwestern Mutual Investment Services, LLC since 2007. Charles has a Series 6, 7, 24 and 63 securities license and a Series 65 Investment Advisor license. In addition to his financial services career, Charles is also a personal care attendant for his disabled daughter and is the Vice-Chair of the Connecticut Council on Developmental Disability.

Firm Information

Charles Bergamo is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

2,341

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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investment research; referrals to other advisers

Investment research; referrals to 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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other

Referral fees

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Charles Bergamo’s Registration & Firm History

CT

06/20/2007 - Present

Northwestern Mutual Investment Services, LLC (New Haven CT)

CT

08/22/1996 - 05/14/2007

THRIVENT INVESTMENT MANAGEMENT INC. (MANCHESTER CT)

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Licenses & Designations

IA

Issued 04/18/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/20/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/06/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/13/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/20/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Charles Henry Bergamo.
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