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2915 N. Boulevard Suite A, Tampa, FL 33602 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-10-20 |
| TX | RA | APPROVED | 2021-06-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Matador Inc | New York | NY | 01/1999 | 03/2021 |
| Pelion Investment Advisors, Inc. | New York | NY | 01/2006 | Present |
| First Liberties Financial | New York | NY | 03/2010 | Present |
| Pelion Insurance Agency | New York | NY | 09/2011 | 03/2021 |
| Pelion Financial Group | New York | NY | 10/2004 | Present |
| Carver Edison Capital, Llc | New York | NY | 05/2021 | Present |
| Carver Edison, Inc. | New York | NY | 11/2017 | 12/2017 |
Since 10/2004, Mr. Bergman has been CEO of Pelion Financial Group ("PFG"), a holding company located in Tampa, Florida, The subsidiaries of PFG are involved in investment related business. The firms and Mr. Bergman's roles are CEO of First Liberties Financial("FLF"), a registered broker-dealer, CEO of Pelion Investment Advisors, Inc. ("PIA"), a state registered investment adviser and Senior Vice President of Pelion Insurance Agency (PIAI). Since 9/2015, Mr. Bergman has been associated person of Tricom Partners LLC ("Tricom"), a Los Angeles, CA based commodities introducing broker. Mr. Bergman spends approximately 96 hours in activities pertaining to FLF, and 2 hours per month on business pertaining to each of PFG, PIA, PIAI and Tricom (some of which is during trading hours). Since 2017, Mr.Bergman has been acting as a consultant for Carver Edison, Inc, a firm involved in the ESPP business.. Matador is a personal LLC that is inactive at this time.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 1991-09-06 |
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