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RIA / WealthAdvisorCertified Financial Planner13 years in industry

BRIAN MICHAEL BERGMAN

Advisor at HIGHTOWER ADVISORS, LLC

DALLAS, TX | CHICAGO, IL

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Search this name across graphsid dfx:ria:c2eb60e6-7cd6-be09-7680-5650fbab519d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 24, 2012 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 21, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Sep 21, 2012
First registration: Sep 24, 2012
Dual registered: no
Other names: Brian Bergman|BRIAN MICHAEL BERGMAN
IAPD individual key: 6096663

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Jul 12, 2025	n/a	yes	CHICAGO, IL\|DALLAS, TX	Current employment
SMITH ANGLIN FINANCIAL, LLC	Former SEC adviser	Nov 29, 2021	Aug 8, 2025	no	DALLAS, TX	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Mar 10, 2021	Oct 19, 2021	no	WESTLAKE, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 11, 2013	Jan 26, 2021	no	FORT WORTH, TX\|Southlake, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 11, 2013	Jan 26, 2021	no	Westlake, TX	Previous registration
WADDELL & REED	Former SEC adviser	Sep 24, 2012	May 20, 2013	no	MANHATTAN, KS\|SALINA, KS	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SMITH ANGLIN FINANCIAL, LLC	HIGHTOWER ADVISORS, LLC	Aug 8, 2025	Jul 12, 2025	-27	Firm change	RIA to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	SMITH ANGLIN FINANCIAL, LLC	Oct 19, 2021	Nov 29, 2021	41	Firm change	Ibd to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jan 26, 2021	Jun 11, 2013	-2,786	Channel change	Other
TD AMERITRADE, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jan 26, 2021	Mar 10, 2021	43	Firm change	Other
WADDELL & REED	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 20, 2013	Jun 11, 2013	22	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
144386:145323:TX:2025-07-30	Aug 8, 2025	Jul 12, 2025	DALLAS, TX	Firm change
111514:7870:TX:2021-01-20	Jan 26, 2021	Jun 11, 2013	SOUTHLAKE, TX	Firm change after gap

Relationships

Registered with (6)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Jul 12, 2025 to presentfactForm ADV
→ SMITH ANGLIN FINANCIAL, LLCRegistered adviserregistration: previous registration
Nov 29, 2021 to Aug 8, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Mar 10, 2021 to Oct 19, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 11, 2013 to Jan 26, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 11, 2013 to Jan 26, 2021factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 24, 2012 to May 20, 2013factForm ADV

Dated events

Occurred
Aug 8, 2025
Advisor changed firm
Brian Michael Bergman left Smith Anglin Financial, Llc for Hightower Advisors, Llc (registered 2025-07-12)
Form ADVobserved 4 days ago