William M. Bertscha
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.
William M Bertscha, who also goes by William Michael Bertscha, Bertscha M Bill, Bill Bertscha, William M Bertscha, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 9 firms and has passed the Series 66, Series 63, Series 79TO, Series 50, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2021 - September 1, 2022
OPPENHEIMER & CO. INC.
September 15, 2021 - September 1, 2022
OPPENHEIMER & CO. INC.
May 13, 2021 - July 2, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 11, 2021 - July 2, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 21, 2018 - March 24, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
April 16, 2008 - March 14, 2018
TRADITION SECURITIES AND DERIVATIVES LLC
April 12, 2006 - June 13, 2007
PREBON SECURITIES (USA) INC.
March 29, 1999 - July 9, 2002
PREBON SECURITIES (USA) INC.
March 25, 1999 - January 28, 2008
PREBON FINANCIAL PRODUCTS INC.
October 6, 1995 - July 8, 1998
PREBON FINANCIAL PRODUCTS INC.
October 5, 1995 - November 30, 1998
PREBON SECURITIES (USA) INC.
January 1, 1992 - September 25, 1995
BGC FINANCIAL, L.P.
February 25, 1989 - August 20, 1991
DB ALEX. BROWN LLC
September 22, 1987 - October 31, 1988
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
