Albert William Bergmann

Osaic Institutions, INC.

28 Years of Experience

4 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningEstate PlanningTax Planning

Osaic Institutions, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

546 advisors

Number of Clients

7,211 clients

Average Client Portfolio

$558K average

Assets Under Management

$4.0B

Fee Structure

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 Report How to Read Disclosures

Employment History

Current Registrations

Osaic Institutions, INC.

September 2016 - Present · 9 yrs 5 mos

Osaic Institutions, INC.Broker

August 2016 - Present · 9 yrs 6 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

Exams

No exam information available for this advisor.