Steven Eric Bertolo
CFP®Professional Summary
Steven Eric Bertolo, CFP® is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Pittsburgh, Pennsylvania and CITIZENS SECURITIES, INC. located in Pittsburgh, Pennsylvania. Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH, LLC | CITIZENS PRIVATE WEALTH
Contact Information
Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591Phone Number
(914) 846-0100# of Employees
214SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
12,118AUM (Assets Under Management)
$16,634,578,146Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2026 | Cover Page | Report |
| 01/28/2025 | Cover Page | Report |
| 07/28/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH, LLC | CITIZENS PRIVATE WEALTH
State Registrations and Notice Filings
(2/7/2025)
(2/11/2025)
(2/7/2025)
(2/11/2025)
(8/19/2026)
(8/20/2026)
(2/10/2025)
(2/10/2025)
(8/15/2019)
(12/11/2024)
(2/18/2025)
(2/20/2025)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1996About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Steven Eric Bertolo's CRS (Customer Relationship Summary).
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