Frank Brooks Bertsch
Professional Summary
Frank Brooks Bertsch, who also goes by Brooks Bertsch, is a registered financial advisor currently at MARINER INDEPENDENT located in Dubuque, Iowa. Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Frank has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brooks Bertsch
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Current Firm
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VALUE87 INVESTMENT PARTNERS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LOCKKEEPER WEALTH PARTNERS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KLINK WEALTH ADVISORS | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CASH PRIVATE WEALTH | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ALINITY WEALTH MANAGEMENT | AGT WEALTH MANAGEMENT | ADVICEPERIOD
Contact Information
Main Address
5700 West 112th Street Suite 500, Overland Park, KS 66211Phone Number
(913) 904-5700# of Employees
161SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
14,426AUM (Assets Under Management)
$7,341,763,312Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | Cover Page | Report |
| 11/05/2024 | Cover Page | Report |
| 12/15/2023 | Cover Page | Report |
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VALUE87 INVESTMENT PARTNERS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LOCKKEEPER WEALTH PARTNERS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KLINK WEALTH ADVISORS | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CASH PRIVATE WEALTH | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ALINITY WEALTH MANAGEMENT | AGT WEALTH MANAGEMENT | ADVICEPERIOD
State Registrations and Notice Filings
(4/1/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Frank Brooks Bertsch's CRS (Customer Relationship Summary).
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TIVERTON WEALTH
SOUND INCOME STRATEGIES, LLC
NYLIFE SECURITIES LLC