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RB

Raymond J. Bertrand

ARISTOTLE CAPITAL MANAGEMENT
Los Angeles, CA 90025-0449
Some features on this profile are disabled
CRD#: 2949869
RB

Professional summary

Raymond Jude Bertrand, who also goes by Ray Bertrand, is a registered financial advisor currently at ARISTOTLE CAPITAL MANAGEMENT, LLC located in Los Angeles, California and FORESIDE FINANCIAL SERVICES, LLC located in Los Angeles, California.

Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Raymond has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ray 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.
ARISTOTLE CAPITAL MANAGEMENT, LLC, LOS ANGELES, CA, INVESTMENT RELATED-INVESTMENT MANAGEMENT, START DATE 9/26/2019, SENIOR VICE PRESIDENT-REGIONAL DIRECTOR, PROMOTING AND SELLING ARISTOTLE PRODUCTS IN THE REGION, 240 HOURS PER MONTH WITH 0 DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Jude 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

November 7, 2019 - Present

ARISTOTLE CAPITAL MANAGEMENT, LLC

Office #1: 11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449
RIA
CRD#: 109876
Los Angeles, CA
Current

October 10, 2023 - Present

FORESIDE FINANCIAL SERVICES, LLC

Office #1: 11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025
BD
CRD#: 148477
Los Angeles, CA
Past

November 1, 2019 - October 24, 2023

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
LOS ANGELES, CA
Past

July 13, 2016 - December 31, 2018

WILLIAM BLAIR

RIA
CRD#: 1252
LOS ANGELES, CA
Past

July 12, 2016 - December 31, 2018

WILLIAM BLAIR

BD
CRD#: 1252
LOS ANGELES, CA
Past

January 1, 2010 - August 11, 2016

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
ATLANTA, GA
Past

October 9, 2006 - January 1, 2010

INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.

RIA
CRD#: 109264
HOUSTON, TX
Past

August 22, 2006 - July 8, 2016

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
HOUSTON, TX
Past

October 1, 1997 - August 21, 2006

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
ARISTOTLE CAPITAL MANAGEMENT, LLC
ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA
Registered Investment Advisory firm - (2/8/2001 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Arizona
(10/24/2023)
IAR
California
(11/7/2019)
RR
California
(10/24/2023)
RR
Nevada
(10/24/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/7/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/17/1998
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 7
Date: 9/30/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ARISTOTLE CAPITAL MANAGEMENT, LLC
ARISTOTLE | REED CONNER & BIRDWELL LLC | REED CONNER & BIRDWELL | ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876 / SEC#: 801-60014

RIA
Registered Investment Advisory firm - (2/8/2001 Approved)
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Contact information

Main Address
11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449
Mailing Address
Phone number
(310) 478-4005
Established
Firm type
Fiscal year end
# of Employees
156

SEC notice filing (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ACM FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts5,904
AUM (Assets Under Management)$ 43,833,669,241

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

ARISTOTLE CAPITAL MANAGEMENT, LLC

CRD#: 109876Los Angeles, CA 90025-0449

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