MB
Max A. Bertz
SEAPORT GLOBAL SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 5495613
MB
Professional summary
Max A Bertz is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.
Max is registered as a RR (Registered Representative) and started their career in finance in 2008. Max has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Max A Bertz's 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®
NoneExperience
Current
May 27, 2015 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 360 Madison Avenue 22nd Floor, New York, NY, 10017BD
CRD#: 116270
New York, NY
Past
April 15, 2013 - June 2, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SHREWSBURY, NJ
Past
July 2, 2012 - April 15, 2013
VIRTU AMERICAS LLC
BD
CRD#: 149823
GREENWICH, CT
Past
June 11, 2012 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
GREENWICH, CT
Past
December 22, 2009 - May 15, 2012
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
June 6, 2008 - December 14, 2009
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, 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
Alabama(5/27/2015)
RR
Alaska(5/27/2015)
RR
Arizona(5/27/2015)
RR
Arkansas(5/27/2015)
RR
California(5/27/2015)
RR
Colorado(5/27/2015)
RR
Connecticut(5/27/2015)
RR
Delaware(5/27/2015)
RR
District of Columbia(5/27/2015)
RR
Florida(5/27/2015)
RR
Georgia(5/27/2015)
RR
Hawaii(5/27/2015)
RR
Idaho(5/27/2015)
RR
Illinois(5/27/2015)
RR
Indiana(5/27/2015)
RR
Iowa(5/27/2015)
RR
Kansas(5/27/2015)
RR
Kentucky(5/27/2015)
RR
Louisiana(5/27/2015)
RR
Maine(5/27/2015)
RR
Maryland(5/27/2015)
RR
Massachusetts(5/27/2015)
RR
Michigan(5/27/2015)
RR
Minnesota(5/27/2015)
RR
Mississippi(5/27/2015)
RR
Missouri(5/27/2015)
RR
Montana(5/27/2015)
RR
Nebraska(5/27/2015)
RR
Nevada(5/27/2015)
RR
New Hampshire(5/27/2015)
RR
New Jersey(5/27/2015)
RR
New Mexico(5/27/2015)
RR
New York(5/27/2015)
RR
North Carolina(5/27/2015)
RR
North Dakota(5/27/2015)
RR
Ohio(5/27/2015)
RR
Oklahoma(5/27/2015)
RR
Oregon(5/27/2015)
RR
Pennsylvania(5/27/2015)
RR
Rhode Island(5/27/2015)
RR
South Carolina(5/27/2015)
RR
South Dakota(5/27/2015)
RR
Tennessee(5/27/2015)
RR
Texas(5/27/2015)
RR
Utah(5/27/2015)
RR
Vermont(5/27/2015)
RR
Virginia(5/27/2015)
RR
Washington(5/27/2015)
RR
West Virginia(5/27/2015)
RR
Wisconsin(5/27/2015)
RR
Wyoming(5/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
