Howard R. Bartley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Howard Roger Bartley, who also goes by Howard R Bartley, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1983. Howard had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2004 - December 31, 2019
TRUSTCORE FINANCIAL SERVICES, LLC
February 26, 1996 - December 31, 2019
TRUSTCORE INVESTMENTS LLC
July 17, 1983 - February 29, 1996
NATIONWIDE SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 6/2/1978
Non-Member General Securities ExaminationCurrent Firm
TRUSTCORE FINANCIAL SERVICES, LLC
CRD#: 106522 / SEC#: 801-17538
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,758 |
| AUM (Assets Under Management) | $ 2,374,057,715 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
