Christopher H. Bartlett
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.
Christopher Hammond Bartlett II, who also goes by Chris Bartlett, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 8 firms and has passed the SIE, Series 55, Series 7, Series 9, Series 10 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
November 15, 2012 - November 29, 2016
BROWN ADVISORY SECURITIES, LLC
July 1, 2003 - September 5, 2012
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 14, 1999 - July 2, 1999
DEUTSCHE BANK SECURITIES INC.
June 9, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
August 4, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
December 23, 1986 - January 14, 1988
KIDDER, PEABODY & CO. INCORPORATED
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 55
Date: 3/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
BROWN ADVISORY SECURITIES, LLC
CRD#: 120736 / SEC#: 801-61427, 8-65342
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 393 |
| AUM (Assets Under Management) | $ 392,032,102 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2022 | ||
| 11/24/2021 |
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.
