Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Travis Bergen is a financial advisor with Tiaa-Cref Individual & Institutional Services, LLC. Joseph has been in the financial services industry since 2010. Joseph has licenses in 51 states and is registered as an Investment Advisor in Arizona. Joseph specializes in financial planning, selection of other advisors, and portfolio management for individuals. Joseph's previous experience includes roles at BancWest Investment Services, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Charles Schwab & Co., Inc.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
AZ
03/20/2024 - Present
Tiaa-Cref Individual & Institutional Services, LLC (Phoenix AZ)
AZ
08/17/2018 - 12/16/2021
BANCWEST INVESTMENT SERVICES, INC. (TEMPE AZ)
CA
06/12/2017 - 10/04/2017
BANCWEST INVESTMENT SERVICES, INC. (SACRAMENTO CA)
AZ
03/31/2017 - 05/12/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)
AZ
04/08/2013 - 11/17/2016
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
CA
09/07/2011 - 02/22/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARMICHAEL CA)
CA
01/03/2011 - 08/22/2011
WELLS FARGO ADVISORS, LLC (ELK GROVE CA)
CA
12/15/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ELK GROVE CA)
CA
03/19/2008 - 09/15/2008
WACHOVIA SECURITIES, LLC (SACRAMENTO CA)
BOTH
Issued 03/19/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/05/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2009
Series 7 - General Securities Representative Examination
BC
Issued 03/17/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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