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Albert Bergmann

Osaic Institutions, INC.
28 Years of Experience
4 DisclosuresBroker
View SEC Summary
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Albert Bergmann is a registered investment advisor at Osaic Institutions, INC., based in Bayside, NY, with 28 years of industry experience. Albert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
563 advisors
Number of Clients
7,211 clients
Average Client Portfolio
$558K average
Assets Under Management
$4.0B

Fee Structure

Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.

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Location

208-24 Cross Island Parkway, Bayside, NY, 11360

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2023
Denied
Customer Dispute
February 2009
Denied
Customer Dispute
January 2009
Denied
Employment Separation After Allegations
November 2008
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Osaic Institutions, INC.
September 2016 - Present · 9 yrs 7 mos
Osaic Institutions, INC.Broker
August 2016 - Present · 9 yrs 8 mos
Previous Registrations
M&t Securities, INC.Broker
March 2016 - July 2016 · 4 mos
M&t Securities, INC.
March 2016 - July 2016 · 4 mos
Essex National Securities, LLC
April 2012 - February 2016 · 3 yrs 10 mos
Essex National Securities, LLCBroker
January 2012 - February 2016 · 4 yrs 1 mo
Essex National Securities, INC.
January 2012 - February 2012 · 1 mo
Investors Capital CORP.Broker
February 2010 - January 2012 · 1 yr 11 mos
Investors Capital Advisory
February 2010 - January 2012 · 1 yr 11 mos
Chase Investment Services CORP.
December 2008 - February 2010 · 1 yr 2 mos
Chase Investment Services CORP.Broker
December 2008 - February 2010 · 1 yr 2 mos
Hsbc Securities (USA) INC.
December 2007 - November 2008 · 11 mos
Hsbc Securities (USA) INC.Broker
January 2005 - November 2008 · 3 yrs 10 mos
Hsbc Brokerage (USA) INC.Broker
December 2001 - January 2005 · 3 yrs 1 mo
Citicorp Investment ServicesBroker
July 1997 - December 2001 · 4 yrs 5 mos
D. H. Blair & CO., INC.Broker
October 1996 - February 1997 · 4 mos
State Registrations8 states
CTFLMANCNJNYPAVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.