Mark Bergeron has been an investment adviser representative at Smart Portfolios since May 2019, and is not listed among the firm’s executive officers or direct owners.
Smart Portfolios, LLC is a Lake Forest Park, WA firm with $210M under management, 150 clients and 4 advisers across 2 offices, as of its March 2026 filing.
Mark Bergeron’s longest registration is the current one, 11 years at WLFB Inc since 2014. Before joining Smart Portfolios in 2019, Mark Bergeron was registered through The Advisor Source, Inc. and Icm Asset Management Inc.
- WLFB IncAlso current– present · 11 yearsBellevue, WA · Adviser representative · Firm CRD 172296
- The Advisor Source, Inc.– · 11 yearsBothell, WA · Adviser representative · Firm CRD 117162
- Icm Asset Management Inc– · 3 yearsSpokane, WA · Adviser representative · Firm CRD 105046
Investment adviser representative registrations
Mark Bergeron is registered as an investment adviser representative in Washington, since December 2014.
- WashingtonSince 5 December 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 21 August 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 28 December 2004 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 17 February 1994 |
| Series 65 | Uniform Investment Adviser Law Examination | 25 May 1993 |
| Series 7 | General Securities Representative Examination | 20 November 1982 |
| Series 1 | Registered Representative Examination | 25 June 1977 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Registered Representative Examination
- Full name
- Mark Allen Bergeron
- CRD
- 839130
- Firm
- Smart Portfolios · CRD 131342
- Registration
- Investment adviser registration
- In the industry since
- February 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Mark Bergeron work?
Mark Bergeron is an investment adviser representative registered through Smart Portfolios, LLC since May 2019, and is not listed among the firm’s executive officers or direct owners.
Is Mark Bergeron a financial advisor?
Yes. Mark Bergeron has a current investment-adviser registration in Washington, through Smart Portfolios since May 2019.
How many years of experience does Mark Bergeron have?
Mark Bergeron has 26 years in the financial industry, since February 2000, across 4 adviser firms.
What exams has Mark Bergeron passed?
Mark Bergeron has passed 6 licensing exams: the Series 1, Series 7, Series 65, Series 26, Series 6 and Series 63. The earliest, the Series 1, was passed in June 1977.
Where did Mark Bergeron work before Smart Portfolios?
Before Smart Portfolios, Mark Bergeron was registered through The Advisor Source, Inc., June 2003 to December 2014; Icm Asset Management Inc, January 2000 to April 2003.
Is Mark Bergeron registered with FINRA?
No. Mark Bergeron has no current broker registration.
How can I verify Mark Bergeron’s record?
Search CRD 839130 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Mark Bergeron’s full registration record.
