Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Bergeron is a financial advisor with over 11 years of experience in the industry. James has a Series 7 and SIE license. He is currently registered with Nuveen Securities, LLC. Previously, James worked at Ameriprise Financial Services, LLC, Nuveen Securities, LLC, and RBC Capital Markets, LLC.
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.
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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2
MN
04/13/2021 - Present
Nuveen Securities, LLC (MINNEAPOLIS MN)
MN
03/20/2018 - 12/21/2020
AMERIPRISE FINANCIAL SERVICES, LLC (Minneapolis MN)
MN
01/27/2012 - 02/13/2018
NUVEEN SECURITIES, LLC (MINNEAPOLIS MN)
MN
09/02/2009 - 11/03/2011
RBC CAPITAL MARKETS, LLC (MINNEAPOLIS MN)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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