MB
Max Bertman
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CRD#: 7309993
MB
Max 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.
Max Bertman was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 2021. Max had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
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. SYSTEM4 IPS POSITION: Co-owner NATURE: Details are the same as the PST request that was approved. INVESTMENT RELATED: No NUMBER OF HOURS: 22 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2026 ADDRESS: 30 Romao Vineyard Way, Unit 114, North Kingstown RI 02852, United States DESCRIPTION: My functions within the business will be five core things:1. Manage Accounts Payable & Receivable- The business has an employee managing these obligations now. My role would be to check their work. It will take approximately 4 hours per month and can be done outside of business hours.2. Manage Payroll- The business uses software that automates most of this. I will oversee the software, and it will take roughly 2 hours a month and can be done outside of normal business hours.3. Bank Account Reconciliations- This is done monthly and takes 2 hours and can be done outside of business hours.4. Monthly Financial Reporting & Close- This is done monthly and takes roughly 8 hours. It can also be done outside of business hours but I am assuming half (4/8 hours) will be during business hours in case I need to coordinate with other staff.5. Budgeting & Forecasting- This is done monthly and takes roughly 6 hours. This can be done outside of business hours. PLUM BEACH PARTNERS LLC 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)
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®
NoneExperience
Past
December 13, 2021 - January 30, 2026
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Warwick, RI
Past
September 24, 2021 - January 30, 2026
VOYA FINANCIAL ADVISORS, INC.
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
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
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.
