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Detailed Report
Susan Elizabeth Bertash
CRD#: 708670
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 Bradenton, FL
Registration History
19801985199019952000200520102015202020252 FIRMS2020 - Present (4 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2019 - Present (5 years)BJESUP & LAMONT SECURITIES CORP (CRD# 39056)2008 - 2010 (2 years)BEMPIRE FINANCIAL GROUP, INC. (CRD# 28759)2007 - 2008 (1 year)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - 2007 (<1 year)BRBS GREENWICH CAPITAL (CRD# 11707)2004 - 2006 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2004 (1 year)BCAL FED INVESTMENTS (CRD# 19631)2002 - 2003 (<1 year)BSUTTER SECURITIES INCORPORATED (CRD# 30770)2001 - 2001 (<1 year)BFAHNESTOCK & CO., INC. (CRD# 249)1997 - 1999 (2 years)BGRUNTAL & CO. INCORPORATED (CRD# 372)1991 - 1997 (5 years)BDREXEL BURNHAM LAMBERT GOVERNM... (CRD# 19727)1987 - 1990 (2 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1983 - 1990 (6 years)BSHEARSON/AMERICAN EXPRESS INC. (CRD# 7506)1982 - 1983 (<1 year)BLEHMAN BROTHERS KUHN LOEB INCO... (CRD# 7555)1980 - 1982 (1 year)
License(s)

State Registrations

B
Florida 8/28/2019
IA
Florida 8/21/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
Bradenton, FL
Registered with this firm since 8/21/2020
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
Bradenton, FL
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
Registered with this firm since 1/31/2020
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
Bradenton, FL
Registered with this firm since 8/27/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 05/14/2008 - 07/08/2010 JESUP & LAMONT SECURITIES CORP (CRD#:39056)
FINRA expelled the firm on 11/04/2010
SAN FRANCISCO, CA
B
 12/06/2007 - 12/23/2008 EMPIRE FINANCIAL GROUP, INC. (CRD#:28759)
FINRA expelled the firm on 03/30/2009
SAN FRANCISCO, CA
B
 04/10/2007 - 10/24/2007 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) SAN FRANCISCO, CA
B
 11/22/2004 - 03/20/2006 RBS GREENWICH CAPITAL (CRD#:11707) SAN FRANCISCO, CA
B
 02/05/2003 - 10/29/2004 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 04/03/2002 - 02/05/2003 CAL FED INVESTMENTS (CRD#:19631) SACRAMENTO, CA
B
 09/28/2001 - 11/14/2001 SUTTER SECURITIES INCORPORATED (CRD#:30770) IRVINE, CA
B
 02/01/1997 - 10/21/1999 FAHNESTOCK & CO., INC. (CRD#:249) NEW YORK, NY
B
 10/03/1991 - 01/27/1997 GRUNTAL & CO. INCORPORATED (CRD#:372) NEW YORK, NY
B
 07/27/1987 - 03/03/1990 DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC. (CRD#:19727)
B
 11/09/1983 - 03/03/1990 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
 08/18/1982 - 06/01/1983 SHEARSON/AMERICAN EXPRESS INC. (CRD#:7506)
B
 05/22/1980 - 03/12/1982 LEHMAN BROTHERS KUHN LOEB INCORPORATED (CRD#:7555)
For additional information about investment advisers or broker-dealers, please visit
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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
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.