Mark B. Bertoli

CASTLE ROCK WEALTH MANAGEMENT

Walnut Creek, CA 94596

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CRD#: 1566759

Professional summary

Mark Brant Bertoli, AIF®, CFP® is a registered financial advisor currently at CASTLE ROCK WEALTH MANAGEMENT, LLC located in Walnut Creek, California and PRIVATE CLIENT SERVICES, LLC located in Walnut Creek, California.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Fixed insurance sales through various carriers. 20 hrs/month, all during trading hrs. 2.) CASTLE ROCK WEALTH MANAGEMENT; INDEPENDENT CONTRACTOR; REGISTERED INVESTMENT ADVISOR; 1777 Botelho Drive Suite 103, Walnut Creek, CA 94596. 200 hrs/month, all during trading hrs. 3.) YOUR CAPITAL INC. 14 PEN PLAZA, 04/2018. 9TH FLOOR, NEW YORK, NY 10122. FINTECH START-UP. MENTOR. 20 MINS/MO; 0 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Brant Bertoli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 1990

Experience

Current

November 14, 2016 - Present

CASTLE ROCK WEALTH MANAGEMENT, LLC

Office #1: 1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596

RIA

CRD#: 199513

Walnut Creek, CA

Current

February 12, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1777 Botelho Drive Suite 103, Walnut Creek, CA 94596

RIA

CRD#: 120222

Walnut Creek, CA

Past

November 9, 2016 - February 13, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WALNUT CREEK, CA

Past

April 3, 1999 - March 1, 2017

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CONCORD, CA

Past

November 12, 1997 - March 1, 2017

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CONCORD, CA

Past

August 16, 1993 - November 6, 1997

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

January 13, 1987 - March 11, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

January 13, 1987 - March 11, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CASTLE ROCK WEALTH MANAGEMENT, LLC

CASTLE ROCK WEALTH MANAGEMENT, LLC | SC RETIREMENT

CRD#: 199513 / SEC#: 801-110593

RIA

Registered Investment Advisory firm - (6/9/2017 Approved)

Arizona

Registered Investment Advisory firm - (6/12/2017 Terminated)

California

Registered Investment Advisory firm - (7/12/2017 Terminated)

Idaho

Registered Investment Advisory firm - (6/12/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2017 Terminated)

Washington

Registered Investment Advisory firm - (6/19/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(11/14/2016)

California
(2/12/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/9/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CASTLE ROCK WEALTH MANAGEMENT, LLC

CASTLE ROCK WEALTH MANAGEMENT, LLC | SC RETIREMENT

CRD#: 199513 / SEC#: 801-110593

RIA

Registered Investment Advisory firm - (6/9/2017 Approved)

Arizona

Registered Investment Advisory firm - (6/12/2017 Terminated)

California

Registered Investment Advisory firm - (7/12/2017 Terminated)

Idaho

Registered Investment Advisory firm - (6/12/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2017 Terminated)

Washington

Registered Investment Advisory firm - (6/19/2017 Terminated)

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Contact information

Main Address

1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 478-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASTLE ROCK WEALTH MANAGEMENT ADV PART 2 (4/29/2025)

Regulatory assets under management

Total Number of Accounts	1,904
AUM (Assets Under Management)	$ 521,757,846

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.

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Mark B. Bertoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Brant Bertoli's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

ASSOCIATED SECURITIES CORP.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

CASTLE ROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/23/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1994

Series 6

Date: 1/9/1987

FINRA

Current Firm

CASTLE ROCK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASTLE ROCK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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