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Stephen Bergman

J.P. Morgan Securities LLC

Winnetka, IL

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Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-07-02
TX RA APPROVED 2024-07-02
  • IL RA
    APPROVED
    Since 2024-07-02
  • TX RA
    APPROVED
    Since 2024-07-02

Branch Locations

791 Elm St, Floor 2, Winnetka, IL 60093 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hengehold Capital Management Cincinnati OH 09/2013 06/2017
Vivaldi Capital Management Chicago IL 06/2017 05/2018
Huber Financial / Savant Chicago IL 05/2018 12/2020
Forum Financial Chicago IL 01/2021 07/2021
Fiducient Advisors Llc Chicago IL 07/2021 08/2022
Jpmorgan Chase Bank Na Winnetka IL 06/2024 Present
Jpmorgan Securities Llc Winnetka IL 06/2024 Present
Fifth Third Private Bank Northbrook IL 09/2022 06/2024
  • 09/2013 → 06/2017
    Hengehold Capital Management
    Cincinnati, OH
  • 06/2017 → 05/2018
    Vivaldi Capital Management
    Chicago, IL
  • 05/2018 → 12/2020
    Huber Financial / Savant
    Chicago, IL
  • 01/2021 → 07/2021
    Forum Financial
    Chicago, IL
  • 07/2021 → 08/2022
    Fiducient Advisors Llc
    Chicago, IL
  • 06/2024 → Present
    Jpmorgan Chase Bank Na
    Winnetka, IL
  • 06/2024 → Present
    Jpmorgan Securities Llc
    Winnetka, IL
  • 09/2022 → 06/2024
    Fifth Third Private Bank
    Northbrook, IL
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-05-21
S65 Uniform Investment Adviser Law Examination 2017-11-14
  • S63 Uniform Securities Agent State Law Examination
    2024-05-21
  • S65 Uniform Investment Adviser Law Examination
    2017-11-14
Designations
Other Names
  • Stephen Bergman
  • Stephen Alexander Bergman

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · WINNETKA, IL
LPL FINANCIAL LLC · WINNETKA, IL
EASTGATE CAPITAL ADVISORS LLC · WINNETKA, IL
PILOT ASSET MANAGEMENT LLC · WINNETKA, IL
LPL FINANCIAL LLC · WINNETKA, IL
ROBERT W. BAIRD & CO. INCORPORATED · WINNETKA, IL
CHARLES SCHWAB & CO., INC. · Winnetka, IL
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