Robert J. Bertalan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Joseph Bertalan SR, who also goes by Bob Bertalan, Robert Joseph Bertalan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1982. Robert had worked at 9 firms and has passed the SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1991 - December 31, 2015
INDEPENDENCE CAPITAL CO., INC.
January 31, 1989 - August 2, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 31, 1989 - August 2, 1991
EQUITABLE ADVISORS, LLC
September 6, 1988 - January 19, 1989
SENTRY EQUITY SERVICES, INC.
August 6, 1987 - August 20, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 14, 1987 - August 1, 1988
MUTUAL SERVICE CORPORATION
May 21, 1986 - June 2, 1987
WASHINGTON NATIONAL EQUITY COMPANY
October 30, 1985 - May 1, 1986
FIRST CLEVELAND INVESTMENTS, INC.
December 3, 1982 - October 22, 1985
1717 CAPITAL MANAGEMENT COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
