Roland Bergman is a CFP-designated registered investment advisor, based in San Mateo, CA, with 24 years of industry experience.
Location
1900 S Norfolk St, Ste 350, San Mateo, CA, 94403
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Roland is an Investment Advisor Representative and involved in Insurance/Benefits/Human Resources through Gateway Financial Advisors, LLC, dedicating about 10-20% of his time, with additional time spent on trading. He also works as an advisory representative of a RIA at CIRA, dedicating full-time hours, with a significant portion spent on trading.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.
Previous Registrations
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Fsc Securities CorporationBroker
Fsc Securities Corporation
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
H.D. Vest Investment ServicesBroker
State Registrations11 states
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.