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Mark Bergman

Smbc Nikko Securities America, Inc.

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About Mark Bergman

Mark Bergman is a financial advisor who has been in the industry since 2014. Mark is currently registered with Smbc Nikko Securities America, Inc. in New York, NY. Mark is licensed to conduct business in the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Mark has passed the Series 63, SIE, Series 7TO, and Series 7 exams.

Firm Information

Mark Bergman is currently registered with Smbc Nikko Securities America, Inc.. Smbc Nikko Securities America, Inc. is a Corporation registered in the United States and has been in operation since August 8, 1990. The firm has a presence in all 50 states and the District of Columbia, with a total of 52 state registrations. Smbc Nikko Securities America, Inc. has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

313

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.

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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Mark Bergman’s Registration & Firm History

NY

02/23/2022 - Present

Smbc Nikko Securities America, Inc. (NEW YORK NY)

NY

01/01/2006 - 07/08/2013

SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/21/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/23/2022

SIE - Securities Industry Essentials Examination

BC

Issued 02/16/2022

Series 7TO - General Securities Representative Examination

BC

Issued 12/28/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

N

NYSE Arca, Inc.

Disclosures

There are no public disclosures for Mark Bergman.
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