Bradley A. Berthiaume

CETERA INVESTMENT ADVISERS LLC

HOULTON, ME 04730

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CRD#: 4475168

Professional summary

Bradley Allen Berthiaume, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houlton, Maine and CETERA INVESTMENT SERVICES LLC located in Presque Isle, Maine.

Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Bradley has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

EVERGREEN VELOCITY LP, FAMILY INVESTMENTS, 50% OWNER; RS MAPLE RIDGE LLC, FAMILY INVESTMENTS, 50% OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Allen Berthiaume'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®

CFP^®

Certified Financial Planner

Experience

Current

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 65 N Street, Houlton, ME 04730

RIA

CRD#: 105644

HOULTON, ME

Current

April 17, 2009 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 12 North Street, Presque Isle, ME 04769Office #2: 65 North Street, Houlton, ME 04730

CRD#: 15340

Presque Isle, ME

Past

April 17, 2009 - January 29, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

September 14, 2007 - April 17, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

PRESQUE ISLE, ME

Past

September 14, 2007 - April 17, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

PRESQUE ISLE, ME

Past

January 1, 2005 - September 10, 2007

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

HOULTON, ME

Past

August 5, 2002 - September 14, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

PRESQUE ISLE, ME

Past

July 29, 2002 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

January 11, 2002 - May 17, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 11, 2002 - May 17, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Alabama
(4/1/2020)

Arkansas
(7/25/2024)

Delaware
(5/13/2024)

Florida
(4/17/2009)

Maine
(4/17/2009)

IAR

Maine
(1/21/2014)

Massachusetts
(7/19/2023)

Michigan
(7/25/2024)

Montana
(9/30/2024)

New Hampshire
(11/7/2019)

North Dakota
(8/26/2025)

Pennsylvania
(4/24/2020)

Rhode Island
(7/10/2012)

Tennessee
(4/17/2009)

Texas
(5/25/2010)

IAR

Texas
(1/12/2023)

Utah
(10/8/2013)

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

State Security Law Exam

IAR

Series 66

Date: 1/29/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Bradley A. Berthiaume

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bradley Allen Berthiaume's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BANCNORTH INVESTMENT GROUP, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2002

SIE

Date: 10/1/2018

Series 7

Date: 1/10/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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