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Peter James Bergen

Stonehaven, LLC

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About Peter James Bergen

Peter Bergen is a financial advisor with Stonehaven, LLC. Peter has been in the financial services industry since 1996. Prior to joining Stonehaven, LLC, Peter was employed at Cabot Lodge Securities LLC, Tigress Financial Partners, LLC, Foreside Fund Services, LLC, AST Investor Services LLC, Northwestern Mutual Investment Services, LLC, R. W. Pressprich & Co., Inc., Robb Peck McCooey Clearing Corporation, H. G. Wellington & Co., Inc., and Melbourne GSI Corp. Peter is registered in 11 states including California, Colorado, Connecticut, Florida, Georgia, Illinois, Kansas, New York, Ohio, Texas and Virginia. Peter holds the Series 7, Series 63, and SIE licenses.

Firm Information

Peter Bergen is currently registered with Stonehaven, LLC. Stonehaven, LLC is a Limited Liability Company formed in October 2001 and is registered in all 50 states and the District of Columbia. They have one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

46

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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Peter Bergen’s Registration & Firm History

NY

06/26/2020 - Present

Stonehaven, LLC (NEW YORK NY)

NY

02/19/2020 - 07/20/2020

CABOT LODGE SECURITIES LLC (New Rochelle NY)

NY

02/12/2016 - 03/29/2019

TIGRESS FINANCIAL PARTNERS, LLC (NEW YORK NY)

NY

08/29/2014 - 02/10/2016

FORESIDE FUND SERVICES, LLC (New York NY)

NY

09/19/2012 - 09/04/2014

AST INVESTOR SERVICES LLC (NEW YORK NY)

NY

12/05/2008 - 05/21/2009

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)

NY

06/02/1997 - 10/30/2008

R. W. PRESSPRICH & CO., INC. (NEW YORK NY)

NY

05/28/1996 - 06/12/1997

ROBB PECK MCCOOEY CLEARING CORPORATION (NEW YORK NY)

NY

11/12/1992 - 05/28/1996

H. G. WELLINGTON & CO., INC. (NEW YORK NY)

NY

04/28/1992 - 11/17/1992

MELBOURNE GSI CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/23/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/06/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter James Bergen.
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