Richard BergenCRD Number: 1286588
Current Firm: Cadaret Grant & Co Inc.
Richard Bergen (CRD# 1286588) is an Investment Advisor Representative working at Cadaret Grant & Co Inc. in Syracuse, NY and has over 32 years of experience in the finance industry. Richard Bergen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Cadaret Grant & Co Inc.
Wells Fargo Advisors Financial Network, LLC
Raymond James Financial Services Advisors, Inc.
|Rlb Wealth Planning Inc.||Garden City, NY||Nov 2005 - Current||11|
|Cadaret, Grant & Company, Inc.||Garden City, NY||Oct 1989 - Current||27|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1984|
Total Assets Under Management3,475MILLIONS
Total Number of Accounts18,688ACCOUNTS
Average Account Value$185,929
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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