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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

BRIAN PAUL BERTSCH

Advisor at WELLS FARGO ADVISORS

MERCER ISLAND, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a2c86bc4-af05-8b39-c7de-839bbffe8f07

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 7, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 4, 1997
First registration: Sep 7, 2007
Dual registered: yes, broker-dealer
Other names: BRIAN PAUL BERTSCH|BRIAN BERTSCH
IAPD individual key: 2775727

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Nov 13, 2023	n/a	yes	MERCER ISLAND, WA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 9, 2020	Nov 16, 2023	no	ISSAQUAH, WA\|TUBAC, AZ	Previous registration
EK RILEY INVESTMENTS, LLC	Former SEC adviser	Sep 7, 2007	Nov 6, 2020	no	OLYMPIA, WA\|GRANGEVILLE, ID\|SEATTLE, WA\|Roseville, CA\|Issaquah, WA\|Grangeville, ID\|Whitefish, MT\|LIVINGSTON, MT\|Mercer Island, WA\|Crooked River Ranch, OR\|Seattle, WA\|LAKEWOOD, WA\|RICHMOND HILL, NY\|Redmond, WA\|SAN DIEGO, CA\|Charlotte, NC\|SEATTLE, WA\|SEATTLE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Nov 16, 2023	Nov 13, 2023	-3	Firm change	Ibd to wirehouse
EK RILEY INVESTMENTS, LLC	LPL FINANCIAL LLC	Nov 6, 2020	Nov 9, 2020	3	Bulk transfer	RIA to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:11025:AZ:2023-11-16	Nov 16, 2023	Nov 13, 2023	TUBAC, AZ	Firm change

Relationships

Registered with (3)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Nov 13, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 9, 2020 to Nov 16, 2023factForm ADV
→ EK RILEY INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 7, 2007 to Nov 6, 2020factForm ADV

Dated events

Occurred
Nov 16, 2023
Advisor changed firm
Brian Paul Bertsch left Lpl Financial Llc for Wells Fargo Advisors (registered 2023-11-13)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a2c86bc4-af05-8b39-c7de-839bbffe8f07
First observed: Sep 7, 2007
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

BRIAN PAUL BERTSCH

Advisor at WELLS FARGO ADVISORS

MERCER ISLAND, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a2c86bc4-af05-8b39-c7de-839bbffe8f07

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:58 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

WELLS FARGO ADVISORS

Wirehouse

Nov 13, 2023

n/a

yes

MERCER ISLAND, WA

Current employment

LPL FINANCIAL LLC

Bd affiliated wealth

Nov 9, 2020

Nov 16, 2023

ISSAQUAH, WA|TUBAC, AZ

Previous registration

EK RILEY INVESTMENTS, LLC

Former SEC adviser

Sep 7, 2007

Nov 6, 2020

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

LPL FINANCIAL LLC

WELLS FARGO ADVISORS

Nov 16, 2023

Nov 13, 2023

-3

Firm change

Ibd to wirehouse

EK RILEY INVESTMENTS, LLC

LPL FINANCIAL LLC

Nov 6, 2020

Nov 9, 2020

Bulk transfer

RIA to ibd

Team

Left

Joined

From

Kind

6413:11025:AZ:2023-11-16

Nov 16, 2023

Nov 13, 2023

TUBAC, AZ

Firm change