Bart A. Crowder
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.
Bart Allan Crowder was a registered financial professional .
Bart is a previously registered financial professional and started their career in finance in 1987. Bart had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 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
October 9, 2020 - December 20, 2023
TD AMERITRADE, INC.
June 19, 2003 - January 10, 2024
CHARLES SCHWAB & CO., INC.
June 14, 2001 - December 2, 2002
PRINCIPAL SECURITIES, INC.
September 22, 1994 - June 11, 2001
IDS LIFE INSURANCE COMPANY
September 22, 1994 - June 11, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
September 16, 1992 - September 21, 1994
BNY MELLON SECURITIES CORPORATION
February 9, 1989 - September 14, 1992
FIDELITY DISTRIBUTORS COMPANY LLC
November 9, 1987 - February 7, 1989
FIDELITY BROKERAGE SERVICES LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
