Mark Bertoli has been an investment adviser representative at Castle Rock Wealth Management since November 2016, and is not listed among the firm’s executive officers or direct owners.
Castle Rock Wealth Management, LLC is a Walnut Creek, CA firm with $587M under management, 2,040 clients and 7 advisers across 6 offices, as of its March 2026 filing.
Mark Bertoli’s longest registration was 17 years at Cetera Advisor Networks LLC (1999–2017). Before joining Castle Rock Wealth Management in 2016, Mark Bertoli was registered through Cetera Advisor Networks LLC.
- – present · 9 yearsWalnut Creek, CA · Adviser representative · Firm CRD 199513
- Cetera Advisor Networks LLC– · 17 yearsConcord, CA · Adviser representative · Firm CRD 13572
Investment adviser representative registrations
Mark Bertoli is registered as an investment adviser representative in California, since November 2016.
- CaliforniaSince 14 November 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 23 June 1994 |
| Series 7 | General Securities Representative Examination | 20 April 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 January 1987 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Mark Brant Bertoli
- CRD
- 1566759
- Firm
- Castle Rock Wealth Management · CRD 199513
- Office
- 1777 BOTELHO DR., SUITE 105, Walnut Creek, CA 94596
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1987
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Mark Bertoli work?
Mark Bertoli is an investment adviser representative registered through Castle Rock Wealth Management, LLC since November 2016, and is not listed among the firm’s executive officers or direct owners.
Is Mark Bertoli a financial advisor?
Yes. Mark Bertoli has a current investment-adviser registration in California, through Castle Rock Wealth Management since November 2016.
How many years of experience does Mark Bertoli have?
Mark Bertoli has 39 years in the financial industry, since June 1987, across 2 adviser firms.
What exams has Mark Bertoli passed?
Mark Bertoli has passed 3 licensing exams: the Series 6, Series 7 and Series 63. The earliest, the Series 6, was passed in January 1987. FINRA credited Mark Bertoli with the SIE, which began in October 2018.
Where is Mark Bertoli based?
Mark Bertoli’s registered office is in Walnut Creek, CA.
Is Mark Bertoli registered with FINRA?
Yes. Mark Bertoli has a current broker registration, under CRD 1566759.
Source: FINRA BrokerCheck
How can I verify Mark Bertoli’s record?
Search CRD 1566759 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Bertoli’s full registration record.
- Jennifer LuippoldChief Compliance Officer
- James LuippoldManaging Member