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CB

Charles R. Bartels

RACE ROCK CAPITAL LLC
Winchester, MA 01890
Some features on this profile are disabled
CRD#: 1817969
CB

Professional summary

Charles Richard Bartels JR, who also goes by C Richard Bartels Jr, C Richard Bartels, is a registered financial professional currently at RACE ROCK CAPITAL LLC located in Winchester, Massachusetts.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 3, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

C Richard Bartels Jr | C Richard Bartels

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) - BD

Click below to view Charles Richard Bartels JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 3, 2010 - Present

RACE ROCK CAPITAL LLC

Office #1: 7 Wainwright Road Unit #99, Winchester, MA 01890Office #2: 7 Wainwright Road Unit #99, Winchester, MA 01890
BD
CRD#: 153363
Winchester, MA
Past

March 25, 2003 - January 7, 2010

ACCESS SECURITIES, LLC

BD
CRD#: 22455
STAMFORD, CT
Past

February 29, 2000 - September 14, 2001

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

June 21, 1999 - March 10, 2000

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW CANAAN, CT
Past

September 16, 1998 - November 3, 1998

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW CANAAN, CT
Past

July 11, 1995 - November 5, 1997

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW CANAAN, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(1/3/2011)
RR
Illinois
(6/19/2015)
RR
Massachusetts
(1/3/2011)
RR
Texas
(6/5/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/30/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/30/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/16/1988
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/2/1995
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RR
RACE ROCK CAPITAL LLC
RACE ROCK CAPITAL LLC

CRD#: 153363 / SEC#: , 8-68528

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
7 Wainwright Road Unit #99, Winchester, MA 01890
Mailing Address
7 Wainwright Road Unit #99, Winchester, MA 01890
Phone number
(617) 840-0778
Established
Delaware since 02/09/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BARTELS, CHARLES ANDREWCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, PFO, POO3207740
BARTELS, CHARLES RICHARD JRMANAGING DIRECTOR1817969
NEELY, KIMBERLY BETHFINANCIAL OPERATIONS PRINCIPAL2045019

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.

Company Information

RACE ROCK CAPITAL LLC

CRD#: 153363Winchester, MA 01890

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