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Michael C. Bertelletti

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CRD#: 6351975
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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 Carlo Bertelletti, who also goes by Michael Carlo Berteletti, Michael Bertelletti, Michael C Bertelletti, Michael B Minor, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2015. Michael had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Carlo Berteletti | Michael Bertelletti | Michael C Bertelletti | Michael B Minor

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.
1) Rogers Surveying~'NIR'~2420 Arthur Kill Rd~Staten Island~NY~10309~Other~Employee~2/27/2020~160hrs~130hrs~Land and Water Surveying. The majority of my time is spent doing topographic surveys on local residential and commercial properties. In addition I will also be performing hydrographic surveys in various locations in the Tri-State area. 2) Four Seasons Realty~'NIR'~8010 13th Ave~Brooklyn~NY~11228~Real Estate/Mortgage (I.E. Sales Agent/Broker, Mortgage Originator)~Employee~3/21/2018~20hrs~20hrs~Researches active and pending listings, completes paperwork such as real estate documents and agreements. Plans and coordinates appointments appointments and house showings. 3) John J. Vento , CPA, P.C.~'IR'~95 New Dorp Ln~Staten Island~NY~10306~Other~Employee~6/17/2020~40hrs~40hrs~I will be one of the firms part time analysts. The majority of my duties with John J. Vento , CPA, P.C. will be surrounding the Delaware Statutory Trust investment product. Introducing to the firm new clients to whom a "DST" would be a suitable investment product. All financial investment activity will be done through Avantax only. 4) DINAPOLY REALTY ADVISORS LLC POSITION: Salesperson NATURE: Real estate sales INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 5 START DATE: 09/22/2022 ADDRESS: 8 Joseph Ln, Staten Island NY 10305, United States DESCRIPTION: I am a real estate agent, I represent buyers and sellers in real estate transactions. 5) VENTO TAX & WEALTH MANAGEMENT GROUP POSITION: Employee NATURE: John J. Vento , CPA, P.C. is a tax preparation and financial planning firm. They perform a number of different financial activities from estate planning, investment advisory, tax preparation, etc. All financial investment activity will be done through Avantax only. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/17/2020 ADDRESS: 95 New Dorp Ln, Staten Island NY 10306, United States DESCRIPTION: I will be one of the firms part time analysts. The majority of my duties with John J. Vento , CPA, P.C. will be surrounding the Delaware Statutory Trust investment product. Introducing to the firm new clients to whom a "DST" would be a suitable investment product. All financial investment activity will be done through Avantax only.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2021 - January 10, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Staten Island, NY
Past

June 26, 2020 - January 10, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
STATEN ISLAND, NY
Past

December 27, 2018 - March 4, 2020

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

March 28, 2017 - March 4, 2020

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

March 4, 2016 - April 5, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 24, 2015 - March 9, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/21/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/2016
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: 9/24/2015
General Securities Representative Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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