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Francine L Bergmann

Wells Fargo Clearing Services, LLC

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About Francine L Bergmann

Francine Bergmann is an Investment Advisor Representative at Wells Fargo Clearing Services, LLC. Francine has been in the financial services industry since August 1999, and holds Series 7, Series 63, and Series 66 securities licenses. Francine has previously worked for firms including Morgan Stanley, Scottrade, Inc. and Charles Schwab & Co., Inc.. Francine has experience working with clients of all types, including individuals, businesses, and institutions. Francine is also a registered Investment Advisor Representative in South Carolina and Texas.

Firm Information

Francine Bergmann is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

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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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

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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commissions

Earned based on transactions or products sold.

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percentage of assets

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

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Francine Bergmann’s Registration & Firm History

SC

08/23/2019 - Present

Wells Fargo Clearing Services, LLC (GREENVILLE SC)

SC

08/31/2016 - 08/26/2019

MORGAN STANLEY (GREENVILLE SC)

SC

02/18/2011 - 07/18/2016

SCOTTRADE, INC. (GREENVILLE SC)

TN

04/05/2007 - 11/11/2010

MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)

TN

03/08/2005 - 04/05/2007

PFIC SECURITIES CORPORATION (FRANKLIN TN)

NC

07/16/2004 - 10/06/2004

AMERICAN SECURITIES GROUP, INC. (CHARLOTTE NC)

OH

03/19/2003 - 06/17/2004

CAP PRO BROKERAGE SERVICES, INC. (COLUMBUS OH)

TX

10/06/1999 - 03/10/2003

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 12/15/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/03/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Francine L Bergmann. Review regulatory record here.
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