Seth C. Bergen

$1.37T regulatory AUM 17,518 advisory clients

Reported services (Item 5G)

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

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2025-03-31
TX	RA	APPROVED	2025-03-31

Branch Locations

1901 Towne Centre Boulevard Suite 135, Annapolis, MD 21401-3047 • United States

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

Organization	City	State	From	To
Client One Securities, Llc	Owings Mills	MD	10/2016	10/2019
Sawyer Group	Owings Mills	MD	05/2016	10/2019
Triad Advisors Llc	Atlanta	GA	11/2019	06/2020
Glass Jacobson Investment Advisors	Owings Mills	MD	11/2019	06/2020
Fidelity Investments	Annapolis	MD	06/2020	Present
Fidelity Investments	Boston	MA	03/2025	Present

2020-09-11 → 2025-03-31

Fidelity Personal And Workplace Advisors

Annapolis, MD
2019-10-17 → 2020-06-03

Glass Jacobson Wealth Advisors

Owings Mills, MD
2016-10-12 → 2019-10-11

Creativeone Securities, Llc

Owings Mills, MD

Owings Mills, MD

Overland Park, KS
2015-03-26 → 2016-01-12

Osaic Services, Inc.

Baltimore, MD

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-02-27
S63	Uniform Securities Agent State Law Examination	2014-09-08