Joseph Travis Bergen

Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 04/2013 → 11/2016
  Charles Schwab & Co.,Inc
  Phoenix, AZ
• 04/2013 → 11/2016
  Charles Schwab Bank
  Phoenix, AL
• 03/2017 → 05/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ
• 12/2016 → 02/2017
  Unemployed
  Gilbert, AZ
• 06/2017 → 09/2017
  Bancwest Investment Services
  Sacramento, CA
• 06/2017 → 09/2017
  Bank Of The West
  Sacramento, CA
• 10/2017 → 12/2017
  Ups
  Pheonix, AZ
• 01/2018 → 05/2018
  Synchrony
  Pheonix, AZ
• 06/2018 → 08/2018
  Yelp
  Scottsdale, AZ
• 08/2018 → 12/2021
  Bank Of The West
  Tempe, AZ
• 08/2018 → 12/2021
  Bancwest Investment Services, Inc.
  Tempe, AZ
• 01/2022 → 07/2023
  Financial Engines Advisors L.L.C.
  Santa Clara, CA
• 07/2023 → Present
  Tiaa
  Phoenix, AZ
• 07/2023 → Present
  Tiaa-Cref Individual & Institutional Services, Llc
  Phoenix, AZ

Previous Registrations

• 2022-01-10 → 2023-08-14
  Edelman Financial Engines
  Virginia Beach, VA
• 2018-08-17 → 2021-12-16
  Bancwest Investment Services, Inc.
  Tempe, AZ
• 2017-06-12 → 2017-10-04
  Bancwest Investment Services, Inc.
  Sacramento, CA
  Sacramento, CA
  Sacramento, CA
  Woodland, CA
  Elk Grove, CA
• 2017-04-03 → 2017-05-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ
• 2013-04-09 → 2016-11-17
  Charles Schwab & Co., Inc.
  Folsom, CA
  Roseville, CA
  Phoenix, AZ
• 2011-09-08 → 2013-02-22
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Carmichael, CA
  Sacramento, CA
  El Dorado Hills, CA
  New York, NY
  Carmichael, CA
  Sacramento, CA
  Carmichael, CA
• 2011-01-03 → 2011-08-22
  Wells Fargo Clearing Services, Llc
  Elk Grove, CA
• 2009-03-20 → 2011-01-03
  Wells Fargo Investments, Llc
  Sacramento, CA
  Elk Grove, CA

Other Businesses

JOSEPH BERGEN POSITION: Owner NATURE: This is my personal residential property that I will be using as a rental property. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2026 ADDRESS: Home Address, Maricopa AZ 85138, United States DESCRIPTION: Collecting rent and ordering maintenance as needed from the tenant

Exams

• S66 Uniform Combined State Law Examination
  2009-03-19
• S63 Uniform Securities Agent State Law Examination
  2008-03-26

Other Names

• Joseph Travis Bergen
• Joseph Bergen
• Joseph T Bergen