Christy Berglund

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2021 → 02/2022
  Nis Financial Services, Inc.
  Kansas City, MO
• 02/2022 → 09/2022
  Prudential Insurance Company Of America
  Austin, TX
• 02/2022 → 09/2022
  Pruco Securities, Llc.
  Austin, TX
• 10/2022 → 06/2024
  J.P. Morgan Securities Llc
  Austin, TX
• 10/2022 → 06/2024
  Jpmorgan Chase Bank, N.A.
  Austin, TX
• 06/2024 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Austin, TX
• 08/2024 → Present
  Bank Of America, N.A.
  Austin, TX
• 10/2011 → 02/2022
  National Western Life
  Austin, TX

Previous Registrations

• 2024-08-27 → 2026-08-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Austin, TX
  Austin, TX
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2024-08-24
• S63 Uniform Securities Agent State Law Examination
  2022-02-05

Other Names

• Christy Chen Berglund
• Chien-Yu Chen
• Christy Berglund