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Brian Paul Bertsch

Wells Fargo Advisors Financial Network, LLC

Mercer Island, WA

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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2023-11-17
TX RA APPROVED_RES 2023-11-13
  • WA RA
    APPROVED
    Since 2023-11-17
  • TX RA
    APPROVED_RES
    Since 2023-11-13

Branch Locations

2731 77Th Ave Se Suite 205, Mercer Island, WA 98040 • 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
Ek Riley Investments, Llc Seattle WA 05/2002 11/2020
Lpl Financial Llc Issaquah WA 11/2020 11/2023
Bertsch, Brian Paul (Crd: 2775727) Issaquah WA 11/2023 Present
  • 05/2002 → 11/2020
    Ek Riley Investments, Llc
    Seattle, WA
  • 11/2020 → 11/2023
    Lpl Financial Llc
    Issaquah, WA
  • 11/2023 → Present
    Bertsch, Brian Paul (Crd: 2775727)
    Issaquah, WA
Previous Registrations
  • 2020-11-09 → 2023-11-16
    Lpl Financial Llc
    Issaquah, WA
    Tubac, AZ
  • 2007-09-07 → 2020-11-06
    Ek Riley Investments, Llc
    Olympia, WA
    Grangeville, ID
    Seattle, WA
    Roseville, CA
    Issaquah, WA
    Grangeville, ID
    Whitefish, MT
    Livingston, MT
    Mercer Island, WA
    Crooked River Ranch, OR
    Seattle, WA
    Lakewood, WA
    Richmond Hill, NY
    Redmond, WA
    San Diego, CA
    Charlotte, NC
    Seattle, WA
    Seattle, WA
Other Businesses

SCHUMAKER BERTSCH LLC, INV RELATED, ISSAQAH, WA, 50% OWNERSHIP, START 1/31/2021, 40 HOURS PER MONTH, ZERO HOURS DURING TRADING, FINET PRACTICE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-09-04
S65 Uniform Investment Adviser Law Examination 1997-09-04
  • S63 Uniform Securities Agent State Law Examination
    1997-09-04
  • S65 Uniform Investment Adviser Law Examination
    1997-09-04
Other Names
  • Brian Paul Bertsch
  • Brian Bertsch

View on SEC IAPD

Other Firms

DLK INVESTMENT ADVISORS, LLC
ACT SECURITIES, LLC
THE CAPROCK GROUP, LLC
LPL ENTERPRISE, LLC
PURE FINANCIAL ADVISORS, LLC
MUTUAL ADVISORS, LLC
MEGG INVESTMENT, LLC
S. R. SCHILL & ASSOCIATES, INC.

Other Investors

Edmund Matthew Van Winkle
NATALIE DAWN HOLM
Joseph John Gryniuk
PETER JOHN WATSON
BRADLEY JOSEPH KNUFFKE
DAVID MEEKS
Jamey Watson
Bon Myeon Koo

Other Offices

DLK INVESTMENT ADVISORS, LLC · MERCER ISLAND, WA
ACT SECURITIES, LLC · MERCER ISLAND, WA
THE CAPROCK GROUP, LLC · MERCER ISLAND, WA
LPL ENTERPRISE, LLC · MERCER ISLAND, WA
THE CAPROCK GROUP, LLC · MERCER ISLAND, WA
PURE FINANCIAL ADVISORS, LLC · Mercer Island, WA
MUTUAL ADVISORS, LLC · Mercer Island, WA
MEGG INVESTMENT, LLC · MERCER ISLAND, WA

More in Mercer Island, WA

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