Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Bertram is a financial professional registered with Mizuho Securities USA LLC. David holds the Series 3, 7, 57TO, and SIE licenses. David is licensed in 52 states and the District of Columbia. Prior to joining Mizuho Securities USA LLC, David was with OTCEX, LLC and SG AMERICAS SECURITIES, LLC. David has over 10 years of experience in the financial industry.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
12/04/2018 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
10/23/2017 - 11/26/2018
OTCEX, LLC (NEW YORK NY)
NY
10/21/2011 - 10/27/2017
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
BC
Issued 11/04/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/20/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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