JB
JB
James Bertero is a registered investment advisor at Morgan Stanley, based in Santa Rosa, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
3562 Round Barn Circle, 1st Floor, Santa Rosa, CA, 95403
Get directionsHistory
Regulatory History (2)
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Regulatory
November 2015Final
Customer Dispute
July 2012Denied
Other Business Activities
James is involved with a trust in Solvang, California since December 2022. He spends minimal time on this investment-related activity outside of business hours.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 3 mos
Morgan Stanley
June 2009 - Present · 17 yrs 3 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
May 2009 - June 2009 · 1 mo
Morgan Stanley & CO. IncorporatedBroker
May 2009 - June 2009 · 1 mo
UBS Financial Services INC.Broker
February 2003 - May 2009 · 6 yrs 3 mos
UBS Financial Services INC.
February 2003 - May 2009 · 6 yrs 3 mos
Salomon Smith Barney INC.
March 1999 - February 2003 · 3 yrs 11 mos
Salomon Smith Barney INC.Broker
December 1998 - February 2003 · 4 yrs 2 mos
State Registrations23 states
AZCACOCTHIIDLAMEMTNCNJNMNVNYOHORSCSDTNTXVAWAWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.