BERTRAM JOHN ELGERSMA

BERTRAM JOHN ELGERSMA is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 7115 KALAMAZOO AVE SE STE B, CALEDONIA, MI, 49316.

BERTRAM JOHN ELGERSMA has worked at CETERA ADVISORS LLC since February 14, 2013

Disclosure History

BERTRAM JOHN ELGERSMA has 3 Disclosure Event(s).

Date: December 17, 2012
Category: Regulatory

Date: October 22, 2012
Category: Employment Separation After Allegations
Firm Name: SECURITIES SERVICE NETWORK, INC.
Termination Type: Permitted to Resign
Allegations: THE FIRM HAS LEARNED THAT MR. ELGERSMA IS THE SUBJECT OF A FINRA INVESTIGATION IN WHICH THEY ARE RECOMMENDING FORMAL ENFORCEMENT ACTION. THE ACTIVIY IN QUESTION OCURRED WHILE MR. ELGERSMA WAS ASSOCIATED WITH QA3.

Date: June 28, 2012
Category: Customer Dispute
Allegations: CUSTOMER STATES, "REP SUGGESTED A PRIVATE PLACEMENT WITH A RETURN OF 9% GUARANTEED... I SPECIFICALLY ASKED IF THIS WAS A "SECURED" INVESTMENT AND WAS TOLD YES." CUSTOMER FURTHER ALLEGES THAT THIS IS UNTRUE.
Damage Amount Requested: $5,000.00
Broker Comment: [THIRD PARTY] AND I MET WITH [CUSTOMER] AND HIS WIFE. WE WENT OVER ALL THE INFORMATION WE HAD PREVIOUSLY DISCUSSED WITH THEM. THEY WERE SATISFIED WITH THE SUPPORTING DOCUMENTS THAT WERE PRESENTED TO THEM AND AGREED TO WITHDRAW THE COMPLAINT.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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