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Todd C. Bertsch

Some features on this profile are disabled
CRD#: 2449486
TB

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.

Todd Colin Bertsch was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 1994. Todd had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 25, Series 7, Series 24 and Series 28 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 10, 2025 - March 3, 2026

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

April 9, 2024 - September 30, 2025

MOODY CAPITAL SOLUTIONS, INC

BD
CRD#: 15989
ATLANTA, GA
Past

August 13, 2018 - April 10, 2024

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

June 25, 2015 - May 4, 2016

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 22, 2010 - April 13, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

January 7, 2009 - March 24, 2010

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
NEW YORK, NY
Past

June 23, 2008 - March 5, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
HUNTINGTON, NY
Past

January 25, 2005 - June 9, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

December 1, 2000 - April 28, 2006

INSTITUTIONAL DIRECT INC.

BD
CRD#: 23019
NEW YORK, NY
Past

October 1, 2000 - November 30, 2000

A.W. BERTSCH, INC.

BD
CRD#: 32772
NEW YORK, NY
Past

September 5, 1996 - November 13, 1998

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

January 18, 1995 - August 28, 1996

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

March 29, 1994 - November 2, 1994

ADLER COLEMAN & CO., INC.

BD
CRD#: 16104
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/18/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 4/6/2004
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/7/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/13/1998
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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.

Company Information

WEILD & CO.

CRD#: 132398

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