Nicholas J. Bertha
Professional summary
Nicholas James Bertha III, who also goes by Nicholas James Bertha, is a registered financial advisor currently at HAMPSHIRE FAMILY OFFICE located in New York, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Nicholas has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James Bertha III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2023 - Present
HAMPSHIRE FAMILY OFFICE
June 7, 2012 - November 30, 2022
DOMINARI SECURITIES LLC
December 7, 2011 - November 30, 2022
DOMINARI SECURITIES LLC
September 27, 2006 - May 8, 2008
CREDIT SUISSE SECURITIES (USA) LLC
May 19, 2005 - May 8, 2008
CREDIT SUISSE SECURITIES (USA) LLC
April 13, 2001 - July 25, 2002
ROBERTSON STEPHENS, INC.
November 2, 2000 - July 25, 2002
ROBERTSON STEPHENS, INC.
June 30, 2000 - November 20, 2000
PERSHING LLC
March 21, 1990 - September 26, 1990
MERCER ALLIED CORPORATION
Primary Firm SEC Registration
HAMPSHIRE FAMILY OFFICE
CRD#: 323432 / SEC#: 801-126787
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/21/2023)
(2/20/2024)
Exams
Current Firm
HAMPSHIRE FAMILY OFFICE
CRD#: 323432 / SEC#: 801-126787
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 78 |
| AUM (Assets Under Management) | $ 883,909,889 |
Red Flags
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