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RB

Ross B. Bartfield

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CRD#: 2021481
RB

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.

Ross B Bartfield was a registered financial professional .

Ross is a previously registered financial professional and started their career in finance in 1990. Ross had worked at 12 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 11, 2023 - December 16, 2024

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC

BD
CRD#: 170062
New York, NY
Past

December 13, 2018 - January 31, 2019

EDWARD JONES

RIA
CRD#: 250
Washington, CT
Past

November 19, 2018 - January 31, 2019

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

January 5, 2017 - November 15, 2018

TRIAD SECURITIES CORP

BD
CRD#: 11363
NEW YORK, NY
Past

August 15, 2011 - January 4, 2017

AVM, L.P.

BD
CRD#: 16710
BOCA RATON, FL
Past

October 12, 2010 - July 29, 2011

EDGEROCK BD LLC

BD
CRD#: 151352
NEW YORK, NY
Past

June 24, 2009 - September 22, 2009

HMC INVESTMENTS, LLC

BD
CRD#: 40581
NEW YORK, NY
Past

December 1, 2008 - March 18, 2009

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
NEW YORK, NY
Past

July 30, 2004 - November 13, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 21, 2002 - June 28, 2004

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 27, 1999 - June 28, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 17, 1992 - February 10, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 20, 1990 - August 1, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Series 63
Date: 12/8/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/12/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1999
General Securities Representative Examination

Current Firm

SL
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
BKUS CAPITAL LLC | SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC | REALFUND CAPITAL LLC | EDGEMOOR PARTNERS LLC

CRD#: 170062 / SEC#: , 8-69407

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

Main Address
96 Worcester Street, Wellesley Hills, MA 02481
Mailing Address
96 Worcester Street, Wellesley Hills, MA 02481
Phone number
(774) 217-3429
Established
Delaware since 10/11/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SLC ASSET MANAGEMENT LLCMANAGING MEMBER
DREPAUL, ROSHNI ARUNAFINOP, PFO,POO6487453
LOUSARARIAN, BRETT JULIUSPRESIDENT5464727
MAGROSKY, EMILY CATHERINECHIEF COMPLIANCE OFFICER7945134

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

SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC

CRD#: 170062

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