Eliot C. Bertman
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.
Eliot Craig Bertman was a registered financial professional .
Eliot is a previously registered financial professional and started their career in finance in 1981. Eliot had worked at 4 firms and has passed the Series 63, Series 15, Series 7, Series 24, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 1988 - November 12, 1996
BROWNCO, LLC
July 11, 1988 - December 31, 2001
BROWNCO, LLC
March 28, 1988 - June 28, 1988
FCM INVESTMENT SERVICES, INC.
August 13, 1987 - August 27, 1987
SHATKIN FINANCIAL SERVICES, INC.
February 23, 1981 - June 29, 1987
CLAYTON, POLLEYS & CO., INC.
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
Series 15
Date: 8/13/1988
Foreign Currency Options ExaminationCurrent Firm
BROWNCO, LLC
CRD#: 1326 / SEC#: , 8-21214
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| CONNORS, JENNIFER ANN | CHIEF COMPLIANCE OFFICER / CROP / SROP | 2222175 |
| CURCIO, MICHAEL JOHN | CHIEF EXECUTIVE OFFICER AND LLC MANAGER | 1620743 |
| LILIEN, ROBERT JARRETT | LLC MANAGER | 1337819 |
| MULRON, SHANE OSHEA SCOTTY | LLC MANAGER | 2709497 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 11 |
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.
