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Albert Bergmann

Osaic Institutions, INC.
29 Years of Experience
Bayside, NY
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Albert Bergmann is a registered investment advisor at Osaic Institutions, INC., based in Bayside, NY, with 29 years of industry experience. Albert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
566 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.

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

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 · 10 yrs 1 mo
Osaic Institutions, INC.Broker
August 2016 - Present · 10 yrs 2 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 Registrations9 states
CTFLMANCNHNJNYPAVA
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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