Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 9, 2018 indicate that former Michigan-based AXA Advisors broker/adviser John Bergmann was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bergmann (CRD# 2699869).
John Bergmann has spent twenty-one years in the securities industry and was most recently registered with AXA Advisors in Washington Township, Michigan (1996-2017). He was previously registered with The Equitable Life Assurance Society of the United States in New York, New York (1996-2000). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 22, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1996; Series 7 (General Securities Representative Examination), which he obtained on September 20, 1999; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 10, 1996; Series 53 (Municipal Securities Principal Examination), which he obtained on September 21, 2002; and Series 24 (General Securities Principal Examination), which he obtained on November 5, 1999. He is currently not registered with any state, firm or self-regulatory organization.
According to his BrokerCheck report, John Bergmann was discharged from his former employer in connection to alleged rule violations and has received seven financial disclosures.
In December 2017 he was terminated from his position at AXA Advisors following allegations he failed to respond to the firm’s requests for information regarding a proposed outside business activity.
In 2015 he paid $2,864 to settle a debt of $9,546.57 with Bank of America/SRA Associates, which had been a result of divorce proceedings.
In 2010 he paid $2,684.37 to settle a debt, stemming from divorce proceedings, of $8,659.26 with Sears MasterCard.
In 2010 he paid $7,400 to settle a debt of $23,875.78 with Bank of America, which had been a result of divorce proceedings.
If you or someone you know has a complaint regarding John Bergmann, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.