Joseph Bergen
Joseph Bergen is a registered investment advisor at Advice and Planning Services, based in Phoenix, AZ, with 16 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 72,807 clients with $34B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
TC Services offers several managed account programs with different fee structures:
- TIAA Personal Portfolio (TPP): 0.30% annually of the assets managed. This program is closed to new investors.
- TIAA Portfolio Advisor (PA): Fees range from 1.15% to 0.40% annually based on a tiered schedule.
- Private Asset Management (PAM): Fees range from 0.90% to 0.40% annually for a blended portfolio, or 0.50% to 0.15% annually for a fixed income portfolio, based on a tiered schedule. Transaction costs are additional for PAM.
TC Services may negotiate fee arrangements based on various factors. The fees for TPP and PA are inclusive of most transaction costs, while PAM has separate transaction costs.
Location
3131 E Camelback Road, Suite 420, Phoenix, AZ, 85016
Get directionsHistory
Regulatory History (1)
Financial
April 2018Employment History
Current Registrations
Advice and Planning Services
Tiaa-Cref Individual & Institutional Services, LLC
Tiaa-Cref Individual & Institutional Services, LLCBroker
Previous Registrations
Financial Engines Advisors L.L.C.
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC. (bwis)
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC. (bwis) and Bwis D/b/a Fhis
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Wachovia Securities, LLCBroker
State Registrations17 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.