Barton E. Holthus
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.
Barton Eugene Holthus, who also goes by Bart Holthus, was a registered financial professional .
Barton is a previously registered financial professional and started their career in finance in 2000. Barton had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2014 - July 27, 2015
FFEC WEALTH PARTNERS LLC
March 23, 2010 - April 7, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 11, 2009 - April 7, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 7, 2007 - September 11, 2009
UBS FINANCIAL SERVICES INC.
January 9, 2000 - August 8, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
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
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
