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Michael Scott Bergen

Investment Adviser Representative at BEACON POINTE ADVISORS, LLC

Warsaw, INCRD #2229382Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
1 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Indiana
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/30/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 3/12/1993
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 6/5/2007
Series 7
General Securities Representative Examination
Passed 3/9/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $1,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Beacon Pointe Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BEACON POINTE ADVISORS, LLCCurrent
7/9/2025 – Warsaw, IN
LPL FINANCIAL LLC
9/17/2004 – 7/7/2025Warsaw, IN
MERRILL LYNCH PIERCE FENNER & SMITH INC.
12/15/1998 – 9/21/2004Warsaw, IN

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View BEACON POINTE ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Scott Bergen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.