Best Investors Account Sign in

Rick Berta

LPl Financial LLC

Traverse City, MI

Claim This Profile
Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2025-05-15
  • MI RA
    APPROVED
    Since 2025-05-15

Branch Locations

2900 W. South Airport Road, Traverse City, MI 49684 • 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
OrganizationCityStateFromTo
Cuso Financial Servcices, Lp San Diego CA 02/2012 05/2025
Lpl Financial Llc Traverse City MI 05/2025 Present
  • 02/2012 → 05/2025
    Cuso Financial Servcices, Lp
    San Diego, CA
  • 05/2025 → Present
    Lpl Financial Llc
    Traverse City, MI
Previous Registrations
  • 2012-03-02 → 2025-05-15
    Cuso Financial Services, L.P.
    San Diego, CA
    Traverse City, MI
  • 2009-11-13 → 2012-02-08
    Pnc Wealth Management Llc
    Traverse City, MI
    Ludington, MI
    Onekama, MI
    Traverse City, MI
    Ludington, MI
    Manistee, MI
    Mancelona, MI
    Petoskey, MI
    Whitehall, MI
  • 2007-02-23 → 2009-11-13
    Natcity Investments, Inc.
    Traverse City, MI
    Manistee, MI
    Onekama, MI
    Ludington, MI
    Ludington, MI
    Traverse City, MI
    Petoskey, MI
    Whitehall, MI
    Muskegon, MI
    Mancelona, MI
  • 2006-04-03 → 2007-02-05
    The Huntington Investment Company
    Traverse City, MI
    Traverse City, MI
  • 2001-11-19 → 2005-09-13
    Lasalle Financial Services, Inc.
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-09-25
S63 Uniform Securities Agent State Law Examination 2000-08-31
  • S65 Uniform Investment Adviser Law Examination
    2001-09-25
  • S63 Uniform Securities Agent State Law Examination
    2000-08-31
Other Names
  • Richard Paul Berta

View on SEC IAPD

Other Firms

STIFEL, NICOLAUS & COMPANY, INCORPORATED
UP NORTH FINANCIAL, LLC
CHARLES SCHWAB & CO., INC.
REHMANN WEALTH
G. A. REPPLE & COMPANY
INDEPENDENT WEALTH MANAGEMENT, LLC
CHERRY TREE WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.

Other Investors

DEBORAH ANN ALICE
Kevin Edwin Dunklow
BUZ EDWARD ZAMARRON
JONATHAN B. RICKS
STEVEN AUSTIN YENSHAW
TERRY LEE FROEBER
ROBERT JOSEPH FENTON
BARBARA SUE SHELLMAN

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · TRAVERSE CITY, MI
UP NORTH FINANCIAL, LLC · TRAVERSE CITY, MI
CHARLES SCHWAB & CO., INC. · Traverse City, MI
REHMANN WEALTH · TRAVERSE CITY, MI
G. A. REPPLE & COMPANY · Traverse City, MI
INDEPENDENT WEALTH MANAGEMENT, LLC · TRAVERSE CITY, MI
CHERRY TREE WEALTH MANAGEMENT, LLC · Traverse City, MI
PFS INVESTMENTS INC. · TRAVERSE CITY, MI

More in Traverse City, MI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor