Arnie BergmanCRD Number: 1338888
Current Firm: Msi Financial Services, Inc.
Arnie Bergman (CRD# 1338888) is an Investment Advisor Representative working at Msi Financial Services, Inc. in Tacoma, WA and has over 32 years of experience in the finance industry.
Byrne & Company Wealth Management, LLC
Investor Resources Inc.
Nr Smith & Associates, P.s.
|Metlife Securities, Inc.||Tacoma, WA||Jul 2002 - Current||15|
|Metropolitan Life Insurance Co||Tacoma, WA||Jul 2002 - Current||15|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1985|
|S65||NASAA Investment Advisors Law Examination||Aug 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Regulatory Event
Total Assets Under Management13,804MILLIONS
Total Number of Accounts105,831ACCOUNTS
Average Account Value$130,432
- 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)
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV