Cindy L Bergin

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 01/2012 → Present
  Stifel Nicolaus & Co Inc
  Paso Robles, CA

Previous Registrations

• 2009-06-01 → 2012-01-19
  Morgan Stanley
  Paso Robles, CA
  Paso Robles, CA
  San Luis Obispo, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Paso Robles, CA
• 1997-07-08 → 2007-04-02
  Morgan Stanley Dw Inc.
  Paso Robles, CA
  Paso Robles, CA

Other Businesses

1. Estrella Warbirds Museum; 4251 Dry Creek Rd, Paso Robles, CA 93446; Non-Profit Military Museum; Treasurer; Overseeing Budget Expenses vs. Budgeted items; 05/17/2018; 4 hours/week; not during securities trading hours; Not Investment-Related 2. NOTARY PUBLIC; 1337 Vine Street Paso Robles CA 93446; Notary Public for Client Use; Notary; affiliation started 05/12/214; 1 hour per year; during securities trading hours; not investment-related. 3. Personal Vacation Rental; Owner; Family Vacation Rental; 07/01/2009; Max & Velmas Vrbo; Owner; 1 Hour Per Week; Not During Securities Trading Hours. Investment-related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-06-05
• S63 Uniform Securities Agent State Law Examination
  1995-02-06

Other Names

• Cindy Bergin
• Cynthia L Bergin