Michael D. Bertz
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.
Michael David Bertz, CFA was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 3 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2011 - March 1, 2025
KENNEDY CAPITAL MANAGEMENT
September 14, 2004 - August 7, 2006
W.R. HAMBRECHT + CO., LLC
November 8, 2001 - September 3, 2004
MORGAN KEEGAN & COMPANY, LLC
Primary Firm SEC Registration
KENNEDY CAPITAL MANAGEMENT
CRD#: 105834 / SEC#: 801-15323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KENNEDY CAPITAL MANAGEMENT
CRD#: 105834 / SEC#: 801-15323
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 206 |
| AUM (Assets Under Management) | $ 4,885,270,151 |
Red Flags
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