Stephen Bergman is a CFA-designated registered investment advisor at J.P. Morgan Securities LLC, based in Winnetka, IL, with 5 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Location
791 Elm St, Floor 2, Winnetka, IL, 60093
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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 →Employment History
Current Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Previous Registrations
Fiducient Advisors LLC
Forum Financial Management, LP
Savant Wealth Management
Huber Financial
Vivaldi Capital Management, LLC
State Registrations53 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.
Exams
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