James John Bertucci

Employer firm

Equitable Advisors, LLC CRD 6627

$42.5B regulatory AUM 171,648 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Equitable Advisors, Llc

1345 Avenue Of The Americas, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-02-05
IL	RA	APPROVED	1999-03-07

TX RA
APPROVED

Since 2024-02-05
IL RA
APPROVED

Since 1999-03-07

Branch Locations

835 E. Rand Road, Arlington Heights, IL 60004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/1999	06/2020
Equitable Advisors, Llc	New York	NY	09/1999	Present

09/1999 → 06/2020

Axa Advisors, Llc

New York, NY
09/1999 → Present

Equitable Advisors, Llc

New York, NY

Previous Registrations

2005-01-18 → 2006-12-01

Midwest Professional Planners, Ltd.

Deerfield, IL

Northbrook, IL

Other Businesses

VILLAGE OF ARLINGTON HEIGHTS, BOARD TRUSTEE, PROVIDE GUIDANCE ON BUDGET AND POLICY, START 04.2021, 20 HRS PER MO, 2800 COMP PER YR. NOTARY, START 06.2025, 1 HR PER MO, ZERO COMP. DBA: WELLS, ROSELIEB & RAIA WEALTH MANAGEMENT, LLC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-11-12
S63	Uniform Securities Agent State Law Examination	1991-07-01

S65 Uniform Investment Adviser Law Examination

1998-11-12
S63 Uniform Securities Agent State Law Examination

1991-07-01

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

James Bertucci

View on SEC IAPD