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CB

Christopher P. Bertoldo

BAY CREST PARTNERS
New York, NY 10005
Some features on this profile are disabled
CRD#: 2796428
CB

Professional summary

Christopher Patrick Bertoldo, who also goes by Christopher P Bertoldo, is a registered financial professional currently at BAY CREST PARTNERS, LLC located in New York, New York.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 1998. Christopher has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher P Bertoldo

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 Christopher Patrick Bertoldo'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

October 5, 2015 - Present

BAY CREST PARTNERS, LLC

Office #1: 40 Wall Street 42nd Floor, New York, NY 10005Office #2: 40 Wall Street 42nd Floor New York, Ny, NY 10005
BD
CRD#: 39944
New York, NY
Past

May 20, 2013 - September 23, 2015

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

November 29, 2011 - May 30, 2013

CAVU SECURITIES LLC

BD
CRD#: 6906
CHATHAM, NJ
Past

March 31, 2011 - December 1, 2011

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

March 9, 2009 - March 22, 2011

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

March 9, 2004 - March 4, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

June 25, 2002 - March 12, 2004

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

June 10, 1999 - June 13, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

February 9, 1998 - June 25, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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
California
(10/5/2015)
RR
Colorado
(10/5/2015)
RR
Connecticut
(10/5/2015)
RR
Florida
(10/5/2015)
RR
Illinois
(10/5/2015)
RR
Massachusetts
(10/5/2015)
RR
New Jersey
(10/5/2015)
RR
New York
(10/5/2015)
RR
Texas
(10/5/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 9/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/10/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 11/5/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/6/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

BC
BAY CREST PARTNERS, LLC
AFC PARTNERS, LLC | BAY CREST PARTNERS, LLC

CRD#: 39944 / SEC#: , 8-48931

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

Main Address
40 Wall Street 42nd Floor, New York, NY 10005
Mailing Address
40 Wall Street 42nd Floor, New York, NY 10005
Phone number
(212) 480-1400
Established
New York since 12/20/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 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#
FREEDOM HOLDING GROUP, LLCSOLE LLC MEMBER
CARBONARA, LISACCO5227955
MULLIGAN, WILLIAM PETER JR.GENERAL SECURITIES PRINCIPAL, LLC MANAGER, CEO1614209
SCHEUERMANN, JOSEPH PHILIPCOO3273673
SCHEUERMANN, JOSEPH PHILIPPFO, POO, FINOP3273673
WEISS, NICHOLAS DANIELROP2856151

Disclosures

Regulatory Event16

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

BAY CREST PARTNERS, LLC

CRD#: 39944New York, NY 10005

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