Arthur Thomas Bertolina

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-11-29

TX RA
APPROVED

Since 2017-11-29

Branch Locations

Sedona, AZ • 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
National Planning Corporation	Rancho Cucamonga	CA	03/2012	11/2017
Lpl Financial Llc	Sedona	AZ	11/2017	Present

03/2012 → 11/2017

National Planning Corporation

Rancho Cucamonga, CA
11/2017 → Present

Lpl Financial Llc

Sedona, AZ

Previous Registrations

2012-03-30 → 2017-11-29

National Planning Corporation

Rancho Cucamonga, CA

El Segundo, CA

Sedona, AZ
1997-07-08 → 2012-04-03

Osaic Wealth, Inc.

Upland, CA

Lake Forest, CA

Sedona, AZ
2008-01-11 → 2010-04-30

Butler, Bertolina & Eppey, Inc.

Upland, CA
1995-01-01 → 2007-12-31

Butler, Bertolina & Eppey, Inc.

Upland, CA

Other Businesses

1. 11/29/2017 - Arthur T. Bertolina & Associates - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - President - Start Date 3/8/2012 - 10 Hours Per Month / 0 Hours During Trading - Arthur T. Bertolina & Associates - Business Entity for Tax-Investment Purposes Only. 2. 08/07/2019 - Arizona Rangers Verde Valley Company - Not investment related - 3310 Valley Vista Dr. Sedona, AZ 86351 - Law Enforcement - start date:01/11/2010 - 20 hrs/mo - 0 hrs during trading - Law Enforcement/ Deputy Director of Equine Training for Northern Arizona.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1990-10-04

S63 Uniform Securities Agent State Law Examination

1990-10-04

View on SEC IAPD