Ronald A. Bartlett

RONALD A. BARTLETT & ASSOCIATES, LTD

Flushing, NY 11354

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CRD#: 2390416

Professional summary

Ronald Anthony Bartlett, who also goes by Ron Bartlett, is a registered financial advisor currently at RONALD A. BARTLETT & ASSOCIATES, LTD located in Flushing, New York.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ronald has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Bartlett

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) - RIA

Click below to view Ronald Anthony Bartlett's 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

November 9, 2009 - Present

RONALD A. BARTLETT & ASSOCIATES, LTD

Office #1: 31-07 Farrington St. 2nd Floor, Flushing, NY 11354

RIA

CRD#: 147038

Flushing, NY

Past

January 9, 2014 - December 7, 2015

WINDSOR STREET CAPITAL, LP

CRD#: 34171

FLUSHING, NY

Past

January 25, 2011 - December 31, 2013

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

FLUSHING, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(12/2/2011)

IAR

Georgia
(11/9/2009)

IAR

New Jersey
(12/15/2010)

IAR

New York
(5/16/2021)

IAR

Texas
(7/24/2020)

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

Series 63

Date: 1/8/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/11/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/14/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RONALD A. BARTLETT & ASSOCIATES, LTD

CRD#: 147038 / SEC#:

California

Registered Investment Advisory firm - (12/31/2013 Terminated)

Florida

Registered Investment Advisory firm - (12/2/2011 Approved)

Georgia

Registered Investment Advisory firm - (11/9/2009 Approved)

New Jersey

Registered Investment Advisory firm - (12/15/2010 Approved)

New York

Registered Investment Advisory firm - (7/13/2009 Approved)

Texas

Registered Investment Advisory firm - (6/8/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

31-07 Farrington St. 2nd Floor, Flushing, NY 11354

Mailing Address

Po Box 541476, Flushing, NY 11354-7476

Phone number

(718) 461-7632

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	136
AUM (Assets Under Management)	$ 14,097,176

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.

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Firm Stability Insights

Ronald A. Bartlett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Anthony Bartlett's CRS (Customer Relationship Summary).

Certified licenses

Experience

RONALD A. BARTLETT & ASSOCIATES, LTD

WINDSOR STREET CAPITAL, LP

GROVE POINT INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/8/2011

Series 65

Date: 6/11/2009

SIE

Date: 12/7/2015

Series 6

Date: 12/14/2010

Current Firm

RONALD A. BARTLETT & ASSOCIATES, LTD

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RONALD A. BARTLETT & ASSOCIATES, LTD

TRUST BUT VERIFY

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