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JB

John T. Bertrand

LIQUIDITY.IO
WHITEFISH, MT 59937
Some features on this profile are disabled
CRD#: 2495287
JB

Professional summary

John Thomas Bertrand, who also goes by John T Bertrand, John Thomas Bertrand Jr, John Bertrand, is a registered financial professional currently at LIQUIDITY.IO, LLC located in Whitefish, Montana.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 9 firms and has passed the Series 63, Series 79TO, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John T Bertrand | John Thomas Bertrand Jr | John Bertrand

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 John Thomas Bertrand'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

July 2, 2025 - Present

LIQUIDITY.IO, LLC

Office #1: 350 Sugarbowl Circle, Whitefish, MT 59937
BD
CRD#: 289499
WHITEFISH, MT
Past

August 1, 2023 - February 11, 2025

BTIG, LLC

BD
CRD#: 122225
New York, NY
Past

June 17, 2021 - July 24, 2023

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

June 25, 2015 - March 2, 2017

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
TORONTO,
Past

May 6, 2010 - June 29, 2015

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 8, 2002 - May 10, 2010

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 5, 2000 - June 12, 2001

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

November 5, 1997 - June 5, 1998

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

September 6, 1994 - October 30, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Montana
(8/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/14/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/20/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/4/1995
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LL
LIQUIDITY.IO, LLC
ARQ ADVISORS LLC | LIQUIDITY.IO, LLC | ARQ SECURITIES

CRD#: 289499 / SEC#: , 8-70000

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

Main Address
350 Sugarbowl Circle, Whitefish, MT 59937
Mailing Address
350 Sugarbowl Circle, Whitefish, MT 59937
Phone number
(908) 608-8831
Established
Delaware since 01/02/2015
Firm type
Limited Liability Company
Fiscal year end
June
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#
SATSCHEL INCOWNER
CHOI, ERICCEO/PRINCIPAL/CCO2705845
BASKETT, ERINCFO/FINOP4538604
BEVAUN, MARLONFINOP6259795

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

LIQUIDITY.IO, LLC

CRD#: 289499Whitefish, MT 59937

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