Individual Firm
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Andrew F Bertalli
ANDREW FRANCIS BERTALLI
CRD#: 4212810
IA
B
MORGAN STANLEYCRD#: 149777 58 South Service Road
Suite 400
Melville, NY 11747
Suite 400
Melville, NY 11747
0
Disclosures
23
Years of Experience
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State Registrations
B
New York 7/25/2022
IA
New York 7/25/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 7/25/2022
B
Registered with this firm since 7/25/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/29/2017 - 05/06/2022 | Lake Grove, NY | |
B | 03/28/2017 - 05/06/2022 | Lake Grove, NY | |
IA | 01/15/2017 - 03/17/2017 | NEW YORK, NY | |
B | 12/27/2016 - 03/17/2017 | NEW YORK, NY | |
IA | 05/27/2011 - 07/29/2016 | NEW YORK, NY | |
B | 05/27/2011 - 07/29/2016 | NEW YORK, NY | |
B | 10/03/2000 - 04/29/2011 | NEW YORK, NY |
NEW YORK, NY
10/03/2000 - 04/29/2011
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.