Kathleen O. Bartlow
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.
Kathleen Ogozaly Bartlow, who also goes by Kathleen Bartlow, Kathleen Ogozaly, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1985. Kathleen had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2005 - April 1, 2022
NBT CAPITAL MANAGEMENT, INC.
October 19, 1990 - December 13, 2016
CADARET, GRANT & CO., INC.
March 19, 1985 - October 25, 1990
IAA FINANCIAL LLC
Primary Firm SEC Registration
NBT CAPITAL MANAGEMENT, INC.
CRD#: 104932 / SEC#: 801-30786
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
NBT CAPITAL MANAGEMENT, INC.
CRD#: 104932 / SEC#: 801-30786
Contact information
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,384 |
| AUM (Assets Under Management) | $ 1,494,546,162 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/16/2024 | ||
| 01/11/2024 | ||
| 11/14/2023 |
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.
