Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bergen is a financial advisor who is currently registered with Smbc Nikko Securities America, Inc. Thomas has been in the securities industry since 2007 and is licensed to conduct business in all 50 states. Prior to joining Smbc Nikko Securities America, Inc. Thomas worked at Morgan Stanley & Co. LLC, GE Capital Markets, Inc., and J.P. Morgan Securities Inc. Thomas holds the Series 7, Series 79, and Series 63 securities licenses and the SIE exam.
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.
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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2
NY
08/10/2022 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
08/05/2016 - 01/04/2022
MORGAN STANLEY & CO. LLC (NEW YORK NY)
CT
04/30/2013 - 04/28/2016
GE CAPITAL MARKETS, INC. (NORWALK CT)
NY
10/03/2000 - 10/30/2007
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 05/03/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2013
Series 7 - General Securities Representative Examination
BC
Issued 04/29/2013
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
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NYSE Arca, Inc.
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