William M. Bertscha

LPL ENTERPRISE

HOLMDEL, NJ 07733

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CRD#: 1633329

Professional summary

William M Bertscha, who also goes by William Michael Bertscha, Bertscha M Bill, Bill Bertscha, William M Bertscha, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Holmdel, New Jersey.

William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 10 firms and has passed the Series 66, Series 63, Series 79TO, Series 50, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Michael Bertscha | Bertscha M Bill | Bill Bertscha | William M Bertscha

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William M Bertscha'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®

None

Experience

Current

May 26, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 101 Crawfords Corner Rd Suite 2409, Holmdel, NJ 07733

RIA

CRD#: 8733

HOLMDEL, NJ

Past

September 15, 2021 - September 1, 2022

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

RED BANK, NJ

Past

September 15, 2021 - September 1, 2022

OPPENHEIMER & CO. INC.

CRD#: 249

RED BANK, NJ

Past

May 13, 2021 - July 2, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

WALL TOWNSHIP, NJ

Past

May 11, 2021 - July 2, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WALL TOWNSHIP, NJ

Past

March 21, 2018 - March 24, 2021

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

New York, NY

Past

April 16, 2008 - March 14, 2018

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

April 12, 2006 - June 13, 2007

PREBON SECURITIES (USA) INC.

CRD#: 20431

JERSEY CITY, NJ

Past

March 29, 1999 - July 9, 2002

PREBON SECURITIES (USA) INC.

CRD#: 20431

JERSEY CITY, NJ

Past

March 25, 1999 - January 28, 2008

PREBON FINANCIAL PRODUCTS INC.

CRD#: 29551

JERSEY CITY, NJ

Past

October 6, 1995 - July 8, 1998

PREBON FINANCIAL PRODUCTS INC.

CRD#: 29551

Past

October 5, 1995 - November 30, 1998

PREBON SECURITIES (USA) INC.

CRD#: 20431

Past

January 1, 1992 - September 25, 1995

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

February 25, 1989 - August 20, 1991

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 22, 1987 - October 31, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/25/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 50

Date: 12/13/2021

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/6/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

William M. Bertscha

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William M Bertscha's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

TULLETT PREBON FINANCIAL SERVICES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

PREBON SECURITIES (USA) INC.

PREBON SECURITIES (USA) INC.

PREBON FINANCIAL PRODUCTS INC.

PREBON FINANCIAL PRODUCTS INC.

PREBON SECURITIES (USA) INC.

BGC FINANCIAL, L.P.

DB ALEX. BROWN LLC

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2019

Series 63

Date: 10/29/1987

Series 79TO

Date: 1/2/2023

Series 50

Date: 12/13/2021

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

Series 24

Date: 4/6/1993

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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