Nicholas Bertha has been an investment adviser representative at Granite Fo since June 2023, and is not listed among the firm’s executive officers or direct owners.
Granite Fo, LLC is a firm with $866M under management, 70 clients and 5 advisers in one office, as of its August 2026 filing.
Nicholas Bertha’s longest registration was 10 years at Fieldpoint Private Securities LLC (2012–2022). Before joining Granite Fo in 2023, Nicholas Bertha was registered through Fieldpoint Private Securities LLC and Credit Suisse Securities (USA) LLC.
- Sanctuary Advisors, LLCAlso current– present · under a yearAdviser representative · Firm CRD 226606
- Hampshire Family OfficeCurrent– present · 3 yearsNew York, NY · Adviser representative · Firm CRD 323432
- Fieldpoint Private Securities LLC– · 10 yearsNew York, NY · Adviser representative · Firm CRD 18975
- Credit Suisse Securities (USA) LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 816
- Robertson Stephens, Inc.– · 1 yearNew York, NY · Adviser representative · Firm CRD 41271
Investment adviser representative registrations
Nicholas Bertha is registered as an investment adviser representative in 3 states. The first approvals date from June 2023; the most recent is New Jersey, in October 2026.
- New HampshireSince 21 June 2023
- New JerseySince 9 October 2026
- New YorkSince 20 February 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 26 September 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 June 2005 |
| Series 7 | General Securities Representative Examination | 22 October 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 October 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Nicholas James Bertha
- CRD
- 1978310
- Firm
- Granite Fo · CRD 323432
- Office
- New York, NY
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nicholas Bertha work?
Nicholas Bertha is an investment adviser representative registered through Granite Fo, LLC since June 2023, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Bertha a financial advisor?
Yes. Nicholas Bertha has a current investment-adviser registration in New Hampshire, New Jersey and New York, through Granite Fo since June 2023.
How many years of experience does Nicholas Bertha have?
Nicholas Bertha has 19 years in the financial industry, since December 2006, across 5 adviser firms.
What exams has Nicholas Bertha passed?
Nicholas Bertha has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 66. The earliest, the Series 6, was passed in October 1994. FINRA credited Nicholas Bertha with the SIE, which began in October 2018.
Where did Nicholas Bertha work before Granite Fo?
Before Granite Fo, Nicholas Bertha was registered through Fieldpoint Private Securities LLC, June 2012 to November 2022; Credit Suisse Securities (USA) LLC, September 2006 to May 2008; Robertson Stephens, Inc., April 2001 to July 2002.
Where is Nicholas Bertha based?
Nicholas Bertha’s registered office is in New York, NY.
Is Nicholas Bertha registered with FINRA?
Yes. Nicholas Bertha has a current broker registration, under CRD 1978310.
Source: FINRA BrokerCheck
How can I verify Nicholas Bertha’s record?
Search CRD 1978310 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicholas Bertha’s full registration record.