Joseph Daniel Bergin

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

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

• 07/2014 → 08/2020
  Wells Fargo Advisors Financial Network, Llc
  Irvine, CA
• 08/2020 → 09/2025
  B.RIley Wealth Management, Inc.
  Memphis, TN
• 07/2022 → 09/2025
  B. Riley Wealth Advisors, Inc.
  Memphis, TN
• 09/2025 → Present
  Prospera Financial Services
  Dallas, TX

Previous Registrations

• 2022-07-28 → 2025-09-17
  B. Riley Wealth Advisors, Inc.
  Irvine, CA
  Irvine, CA
  Santa Monica, CA
• 2020-08-10 → 2022-12-31
  B. Riley Wealth Management
  Irvine, CA
  Irvine, CA
  Memphis, TN
  Irvine, CA
  Irvine, CA
  Santa Monica, CA
  Memphis, TN
• 2014-07-08 → 2020-08-10
  Wells Fargo Advisors Financial Network, Llc
  Irvine, CA
• 1997-11-10 → 2002-12-18
  Cibc World Markets Corp.
  Los Angeles, CA

Other Businesses

Behrle Bergin; Investment Related - Yes; 100 Spectrum Center Dr Suite 900 Irvine, CA 92618; DBA; Financial Advisor; 9/2025; 160 Hours Per Month; 160 During Trading Hours; Providing financial planning and investment-related services.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-12-05
• S63 Uniform Securities Agent State Law Examination
  1985-02-21

Other Names

• Joseph D Bergin
• Joe Bergin