Michael L. Bertash

TOCQUEVILLE ASSET MANAGEMENT LP

New York, NY 10019

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CRD#: 1732623

Professional summary

Michael Lewis Bertash is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in Vero Beach, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 7 firms and has passed the Series 63, Series 65, Series 52TO, SIE and Series 7 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.

TOCQUEVILLE ASSET MANAGEMENT L.P, INVESTMENT ADVISOR, IS AN AFFILIATE OF AND OPERATES OUT OF THE SAME OFFICES AS TOCQUEVILLE SECURITIES L.P.,EMPLOYMENT DATE 7/1/2009, TITLE DIRECTOR OF INSTITUTIONAL CLIENT SERVICES, APPROXIMATELY 94% TO 96% (APPROXIMATELY 165 HOURS) OF TIME A MONTH IS DEVOTED TO TOCQUEVILLE ASSET MANAGEMENT L.P. AND VARIES ACCORDING TO BUSINESS REQUIREMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lewis Bertash'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 30, 2021 - Present

TOCQUEVILLE ASSET MANAGEMENT LP

Office #1: 40 West 57th Street 19th Floor, New York, NY 10019

RIA

CRD#: 105690

New York, NY

Current

September 22, 2010 - Present

TOCQUEVILLE SECURITIES L.P.

Office #1: 2911 Cardinal Drive, Vero Beach, FL 32963Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019

CRD#: 26001

Vero Beach, FL

Past

March 31, 1997 - August 3, 2004

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

November 8, 1991 - February 24, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 5, 1990 - October 29, 1991

BURNHAM SECURITIES INC.

CRD#: 22549

NEW YORK, NY

Past

June 30, 1988 - August 11, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

September 22, 1987 - July 9, 1988

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

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".

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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

New York
(1/31/2011)

IAR

New York
(5/30/2021)

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: 1/28/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/12/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

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

SRO Registrations

FINRA

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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Contact information

Main Address

40 West 57th Street 19th Floor, New York, NY 10019

Mailing Address

Phone number

(212) 698-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOCQUEVILLE ASSET MANAGEMENT LP BROCHURE JUNE 2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	2,440
AUM (Assets Under Management)	$ 9,660,385,107

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
09/27/2024	Cover Page	Report
02/22/2024	Cover Page	Report
03/16/2023	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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Michael L. Bertash

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Lewis Bertash's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOCQUEVILLE SECURITIES L.P.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

J.P. MORGAN SECURITIES LLC

BURNHAM SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

TOCQUEVILLE ASSET MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/2011

Series 65

Date: 7/12/1994

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/19/1987

FINRA

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TOCQUEVILLE ASSET MANAGEMENT LP

TRUST BUT VERIFY

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