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DB

Donald A. Bartelt

Some features on this profile are disabled
CRD#: 1377935
DB

Professional summary

Donald Andrew Bartelt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Donald is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Donald had worked at 7 firms, which includes NEWPORT COAST SECURITIES INC., UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, CETERA ADVISORS LLC, EMMETT A LARKIN COMPANY INC., WEDBUSH SECURITIES INC., WALL STREET WEST INC., SEA INVESTORS CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Bartelt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 26, 2010 - August 25, 2014

NEWPORT COAST SECURITIES, INC.

RIA
CRD#: 16944
CAVE CREEK, AZ
Past

May 17, 2010 - August 25, 2014

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
CAVE CREEK, AZ
Past

March 17, 2010 - May 14, 2010

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
CAVE CREEK, AZ
Past

November 20, 2009 - May 14, 2010

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
CAVE CREEK, AZ
Past

May 22, 2006 - November 27, 2009

CETERA ADVISORS LLC

BD
CRD#: 10299
CAREFREE, AZ
Past

December 18, 2001 - May 22, 2006

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
SAN FRANCISCO, CA
Past

April 2, 1998 - December 18, 2001

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

June 1, 1989 - April 8, 1998

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

January 1, 1988 - June 10, 1989

WALL STREET WEST, INC.

BD
CRD#: 7529
Past

June 6, 1985 - December 4, 1987

SEA INVESTORS CORPORATION

BD
CRD#: 11216

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/17/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/4/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/4/1986
Investment Company Products/Variable Contracts Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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