Arthur W. Bertsch
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.
Arthur William Bertsch, who also goes by A. W. Bertsch, Bill Bertsch, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2000. Arthur had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2000 - December 12, 2002
INSTITUTIONAL DIRECT INC.
October 1, 2000 - November 30, 2000
A.W. BERTSCH, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INSTITUTIONAL DIRECT INC.
CRD#: 23019 / SEC#: , 8-40058
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEAR, STEARNS & CO. INC. | SHAREHOLDER | 79 |
| DISTELL, GARY NEIL | GENERAL COUNSEL, DESIGNATED NASD EXEC. REP. | 1540489 |
| KESSLER, CHARLES | CCO | 3048174 |
| LYONS, ROBERT P | SENIOR MANAGING DIRECTOR, SECRETARY, DIRECTOR | 3155378 |
| SCHROEDER, JAMES FRANCIS | MANAGING DIRECTOR/PRINCIPAL | 1961007 |
| STEPPACHER, WALTER MAURICE | CFO | 1219845 |
| VALENTE, JAMES ROBERT JR | PRESIDENT, DIRECTOR, CEO, SMD | 703860 |
Red Flags
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