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Raymond Neil Bergen

Cadaret, Grant & CO., Inc.

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About Raymond Neil Bergen

Raymond Bergen is a financial professional with over 30 years of experience in the securities industry. Raymond has a strong background in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and institutions. Raymond is a Certified Financial Planner and is registered with Cadaret, Grant & Co., Inc., a leading investment firm. Raymond is also registered as an Investment Advisor Representative in the state of New York.

Firm Information

Raymond Bergen is currently registered with Cadaret, Grant & CO., Inc.. Cadaret, Grant & CO., Inc. is a corporation formed on April 16, 1981, with its main office located in Syracuse, NY. They are a registered investment advisor with a comprehensive suite of services, including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals and businesses. The firm has a strong presence across the United States with 52 state registrations and 1 SEC registration. They have a significant client base with a focus on individuals, corporations, and institutional clients, managing over $6.8 billion in regulatory assets under management.
Cadaret, Grant & CO., Inc.

100 MADISON STREET

SYRACUSE, NY 13202

$6.87B

Assets Under Management

5,685

Total Clients

543

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Raymond Bergen’s Registration & Firm History

NY

11/19/2021 - Present

Cadaret, Grant & CO., Inc. (JERICHO NY)

NY

01/18/2001 - 12/02/2021

SECURITIES AMERICA, INC. (FOREST HILLS NY)

NY

01/25/1999 - 01/30/2001

PRIME CAPITAL SERVICES, INC. (POUGHKEEPSIE NY)

AZ

07/29/1993 - 01/14/1999

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

OR

08/12/1992 - 07/01/1993

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

NY

04/22/1992 - 10/23/1992

CADARET, GRANT & CO., INC. (SYRACUSE NY)

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Licenses & Designations

BC

Issued 05/07/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/20/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Raymond Neil Bergen. Review regulatory record here.
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