James E. Barthmaier

Some features on this profile are disabled

CRD#: 13927

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.

James Eugene Barthmaier, who also goes by James Eugene Barthmaier Jr, Jim Barthmaier, James Eugene Barthmier, was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1969. James had worked at 17 firms and has passed the Series 65, Series 63, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Eugene Barthmaier Jr | Jim Barthmaier | James Eugene Barthmier

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 6, 2014 - November 19, 2014

CHI-RHO FINANCIAL, LLC

RIA

CRD#: 138947

NORCROSS, GA

Past

January 3, 2005 - September 1, 2005

C.P. BAKER SECURITIES INCORPORATED

CRD#: 26233

BOSTON, MA

Past

January 3, 2001 - January 2, 2004

THE CAMELOT GROUP, INC.

CRD#: 31091

FT LAUDERDALE, FL

Past

February 22, 1997 - November 24, 1998

COMMONWEALTH ASSOCIATES

CRD#: 20833

NEW YORK, NY

Past

June 21, 1996 - September 12, 1996

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

June 5, 1995 - June 18, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 20, 1993 - June 8, 1994

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Past

September 9, 1991 - September 14, 1993

BOLTON FINANCIAL SERVICES, LLC

CRD#: 10339

MEMPHIS, TN

Past

May 18, 1989 - August 27, 1991

RANDELL SECURITIES, INC.

CRD#: 15839

Past

October 5, 1982 - September 1, 1988

J.C. BRADFORD & CO.

CRD#: 1287

Past

March 27, 1981 - October 28, 1982

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 15, 1980 - April 17, 1981

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

March 20, 1978 - September 25, 1980

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

August 29, 1977 - April 30, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

April 23, 1973 - August 28, 1977

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

November 8, 1972 - May 13, 1973

HOWARD LAWRENCE & CO., INC.

CRD#: 4273

Past

December 20, 1971 - December 22, 1972

STUART BROTHERS

CRD#: 3528

Past

May 17, 1971 - March 22, 1972

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

August 6, 1969 - June 11, 1971

ASIEL AND COMPANY

CRD#: 1000001

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CHI-RHO FINANCIAL, LLC

CRD#: 138947 / SEC#: 801-74211

RIA

Registered Investment Advisory firm - (3/30/2012 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/25/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 8/4/1969

Registered Representative Examination

Current Firm

CHI-RHO FINANCIAL, LLC

CRD#: 138947 / SEC#: 801-74211

RIA

Registered Investment Advisory firm - (3/30/2012 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3500 Lenox Road Suite 820, Atlanta, GA 30326

Mailing Address

Phone number

(678) 731-0032

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHI-RHO ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 1,170,153,995

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James E. Barthmaier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

C.P. BAKER SECURITIES INCORPORATED

THE CAMELOT GROUP, INC.

COMMONWEALTH ASSOCIATES

J.C. BRADFORD & CO.

PRUDENTIAL EQUITY GROUP, LLC

THE ROBINSON-HUMPHREY COMPANY, LLC

BOLTON FINANCIAL SERVICES, LLC

RANDELL SECURITIES, INC.

J.C. BRADFORD & CO.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

CIBC WORLD MARKETS CORP.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

E. F. HUTTON & COMPANY INC

HOWARD LAWRENCE & CO., INC.

STUART BROTHERS

J.P. MORGAN SECURITIES LLC

ASIEL AND COMPANY

Primary Firm SEC Registration

CHI-RHO FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/2014

Series 63

Date: 7/25/1979

PC

Date: 9/7/1977

Series 1

Date: 8/4/1969

Current Firm

CHI-RHO FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHI-RHO FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors