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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Bergin is a financial advisor with B. Riley Wealth Advisors, Inc., located in Santa Monica, CA. Joseph has been in the financial services industry for over 35 years and is a registered representative with FINRA and a registered investment advisor in California. Joseph has a variety of experience, including working with Wells Fargo Advisors Financial Network, LLC., B. Riley & Co., LLC, Jefferies & Company, Inc., RBC Dain Rauscher Inc., The Seidler Companies Incorporated, CIBC World Markets Corp., Bear, Stearns & Co. Inc., Kemper Securities Group, Inc., and Bateman Eichler, Hill Richards, Incorporated. Joseph provides financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/01/2025 - Present
B. Riley Wealth Advisors, Inc. (Santa Monica CA)
CA
07/08/2014 - 08/10/2020
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (IRVINE CA)
CA
03/07/2011 - 04/21/2014
B. RILEY & CO., LLC (LOS ANGELES CA)
CA
06/04/2007 - 03/08/2011
JEFFERIES & COMPANY, INC. (LOS ANGELES CA)
CA
12/04/2006 - 05/02/2007
RBC DAIN RAUSCHER INC. (CENTURY CITY CA)
CA
11/27/2002 - 12/04/2006
THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)
NY
04/12/1995 - 12/18/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
09/11/1991 - 04/19/1995
BEAR, STEARNS & CO. INC. (NEW YORK NY)
MO
09/04/1990 - 09/12/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
NA
07/31/1989 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NY
04/09/1985 - 08/12/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 12/05/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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