Gregory John Bergeron

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 05/2023 → 06/2024
  Keith Rollins
  Houston, TX
• 09/2022 → 06/2023
  Paws Of Houston
  Houston, TX
• 09/2019 → 01/2020
  Unemployed
  Houston, TX
• 06/2019 → 08/2019
  Ico Commercial
  Sugar Land, TX
• 02/2020 → 05/2023
  Envoy Mortgage
  Houston, TX
• 04/2019 → 05/2019
  Unemployed
  Houston, TX
• 06/2014 → 04/2019
  Veritex Bank
  Houston, TX
• 05/2013 → Present
  Montgomery County Mud 130 Aka Audubon 2
  Houston, TX
• 11/2024 → 07/2026
  Northwestern Mutual Investment Services Llc/Rsf Wealth
  Houston, TX
• 06/2024 → 07/2026
  Keith Rollins
  Houston, TX
• 06/2024 → 07/2026
  Chad Smith
  Houston, TX
• 06/2023 → 06/2024
  Chad Smith
  Houston, TX
• 07/2026 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX

Other Businesses

Name of the other business Montgomery County MUD 130 aka Audubon 2 Whether the business is investment-related Yes Address of the other business Houston, TX Nature of the other business Municipal Utility District Your position Board Member Title, or relationship with the other business Vice President Start date of your relationship 05/01/2013 Approximate number of hours/month you devote to the other business 1 Number of hours you devote to the other business during securities trading hours 1 Briefly describe your duties relating to the other business Attend a monthly board meeting to get updates on happenings within the district and vote on action items as needed. The district is developing residential lots and selling them to home builders and we oversee the water distribution within the district. The meeting typically lasts 20-30 minutes and is held at 12:30 on the 4th Wednesday of the month.

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-06-01
• S63 Uniform Securities Agent State Law Examination
  2025-01-11

Other Names

• Greg Bergeron
• Gregory Bergeron
• Gregory John Bergeron
• Gregory J Bergeron