John W. Bertaut

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CRD#: 865844

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.

John William Bertaut, who also goes by Tom Bertaut, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1979. John had worked at 5 firms and has passed the Series 66, Series 63, Series 15, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Bertaut

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.

The advisor shows no other business activity.

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

March 18, 2010 - December 31, 2014

BANKPLUS WEALTH ADVISORS

RIA

CRD#: 152588

RIDGELAND, MS

Past

February 21, 2008 - February 8, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

JACKSON, MS

Past

January 5, 2001 - February 8, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

JACKSON, MS

Past

November 28, 1988 - January 8, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 2, 1981 - December 6, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

May 1, 1979 - November 5, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

BANKPLUS WEALTH ADVISORS

CRD#: 152588 / SEC#: 801-121567

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

Louisiana

Registered Investment Advisory firm - (7/12/2021 Terminated)

Mississippi

Registered Investment Advisory firm - (7/2/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

State Security Law Exam

IAR

Series 66

Date: 2/20/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/11/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 2/16/1983

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 1/25/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/21/1979

General Securities Representative Examination

Current Firm

BANKPLUS WEALTH ADVISORS

CRD#: 152588 / SEC#: 801-121567

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

Louisiana

Registered Investment Advisory firm - (7/12/2021 Terminated)

Mississippi

Registered Investment Advisory firm - (7/2/2021 Terminated)

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Contact information

Main Address

1200 Eastover Drive Suite 300, Jackson, MS 39211

Mailing Address

Phone number

(601) 607-4290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BANKPLUS WEALTH MANAGEMENT LLC ADV PART 2A FIRM BROCHURE 06.06.2025 (7/9/2025)

Regulatory assets under management

Total Number of Accounts	698
AUM (Assets Under Management)	$ 186,099,182

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.

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Firm Stability Insights

John W. Bertaut

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

BANKPLUS WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/20/2008

Series 63

Date: 11/11/1983

Series 15

Date: 2/16/1983

Series 5

Date: 1/25/1982

Series 7

Date: 4/21/1979

Current Firm

BANKPLUS WEALTH ADVISORS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKPLUS WEALTH ADVISORS

TRUST BUT VERIFY

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