Nicholas Bertha, financial advisor Greenwich CT
73 score

Nicholas Bertha

CRD Number: 1978310
Current Firm: Fieldpoint Private Securities LLC

Nicholas Bertha (CRD# 1978310) is an Investment Advisor Representative working at Fieldpoint Private Securities LLC in Greenwich, CT and has over 11 years of experience in the finance industry.

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Company Name Location Dates Years
Fieldpoint Private Securities, LLC Greenwich, CT Jun 2011 - Current 5
Fieldpoint Private Bank & Trust Greenwich, CT Apr 2008 - Jun 2011 3
Credit Suisse Securities (usa) LLC New York, NY Apr 2005 - Apr 2008 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2005
S66 NASAA Uniform Combined State Law Examination Sep 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Nicholas J. Bertha
Phone Number: 203-682-6500
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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