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Joseph Bergin

Prospera Financial Services, INC.
41 Years of Experience
Irvine, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Joseph Bergin is a registered investment advisor at Prospera Financial Services, INC., based in Irvine, CA, with 41 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 19,103 clients with $12B in assets under management.

Prospera Financial Services, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
283 advisors
Number of Clients
19,103 clients
Average Client Portfolio
$651K average
Assets Under Management
$12.4B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.15%

Maximum annual fee across investment management programs is 2.15% of assets under management. Fees are negotiable based on account size, complexity, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

100 Spectrum Center Dr, Suite 900, Irvine, CA, 92618

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History

Regulatory History (1)
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.
Judgment / Lien
July 2019
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joseph uses the marketing name Behrle-Bergin to facilitate securities business through BRWM, dedicating about a quarter of his time to this. He also works as an agent selling Medicare, spending minimal time on this activity.

Employment History
Current Registrations
Prospera Financial Services, INC.Broker
September 2025 - Present · 1 yr 1 mo
Prospera Financial Services, INC.
September 2025 - Present · 1 yr 1 mo
Previous Registrations
B. Riley Wealth Advisors, INC.
July 2022 - September 2025 · 3 yrs 2 mos
B Riley Wealth Management
August 2020 - December 2022 · 2 yrs 4 mos
B. Riley Wealth ManagementBroker
August 2020 - September 2025 · 5 yrs 1 mo
Wells Fargo Advisors Financial Network, LLC
July 2014 - August 2020 · 6 yrs 1 mo
Wells Fargo Advisors Financial Network, LLCBroker
July 2014 - August 2020 · 6 yrs 1 mo
B. Riley & CO., LLCBroker
March 2011 - April 2014 · 3 yrs 1 mo
Jefferies & Company, INC.Broker
June 2007 - March 2011 · 3 yrs 9 mos
RBC Dain Rauscher INC.Broker
December 2006 - May 2007 · 5 mos
The Seidler Companies IncorporatedBroker
November 2002 - December 2006 · 4 yrs 1 mo
Cibc World Markets CORP.
November 1997 - December 2002 · 5 yrs 1 mo
Cibc World Markets CORP.Broker
April 1995 - December 2002 · 7 yrs 8 mos
Bear, Stearns & CO. INC.Broker
September 1991 - April 1995 · 3 yrs 7 mos
Kemper Securities Group, INC.Broker
September 1990 - September 1991 · 1 yr
Bateman Eichler, Hill Richards, IncorporatedBroker
July 1989 - September 1990 · 1 yr 2 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
April 1985 - August 1989 · 4 yrs 4 mos
State Registrations18 states
AKAZCACOFLGAIDLANVNYPASCTNTXUTVAWAWI
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.
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