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Max Bertman
VOYA FINANCIAL ADVISORS
Warwick, RI 02889
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CRD#: 7309993
MB
Professional summary
Max Bertman is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Warwick, Rhode Island.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Max has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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.
NAME OF ENTITY: Independent Insurance Agent; Yes; 15 Alfred St; Warwick; RI; 02889; Fixed Insurance Sales; Independent Insurance Agent; 12/1/2021; 2; 0; Sales of fixed insurance products| PLANT DOCS POSITION: Director NATURE: I will be a board member for the non-profit Plant docs. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/16/2023 ADDRESS: 161 Terrace Ave, Riverside RI 02915, United States DESCRIPTION: I will attend quarterly board meetings andalong with other board members providegovernance. PLUM BEACH ACQUISITIONS POSITION: Co-Owner NATURE: Plum beach acquisitions will look to acquire a business that cleans commercial kitchens and homes. We plan to submit an LOI to purchase this business within a week and after we have the business under an LOI, we will conduct due diligence and negotiate a final purchase price with the sellers. INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 09/01/2025 ADDRESS: 45 Taft Ave, Providence RI 02906, United States DESCRIPTION: I will work on overall business strategy, training new employees, budgeting and forecasting finances, and
CRS (Client Relationship Summary) - RIA
Click below to view Max Bertman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Max Bertman'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
December 13, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 15 Alfred Street, Warwick, RI 02889RIA
BD
CRD#: 2882
Warwick, RI
Current
September 24, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 15 Alfred Street, Warwick, RI 02889RIA
BD
CRD#: 2882
Warwick, RI
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.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
Connecticut(11/8/2024)
RR
Florida(9/23/2022)
RR
Massachusetts(12/20/2022)
RR
New York(7/25/2022)
IAR
New York(10/10/2022)
RR
Rhode Island(11/1/2021)
IAR
Rhode Island(12/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Warwick, RI 02889TRUST BUT VERIFY
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