Richard K. Bartolacci

SUNDVOLD FINANCIAL

Columbia, MO 65203

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CRD#: 2539103

Professional summary

Richard Kevin Bartolacci, AIF® is a registered financial advisor currently at SUNDVOLD FINANCIAL located in Columbia, Missouri.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

FINANCIAL SOLUTIONS FOR LIFE, LLC-COMMERCIAL REAL ESTATE SOLE MEMBER OF THE LLC MAY 26,2004 3 HOURS PER WEEK ZERO-I AM THE SOLE MEMBER OF THE LLC THAT OWNS THE SUITE WHERE MY PRUDENTIAL OFFICE IS LOCATED MY DUTIES ARE THOSE OF A LANDLORD APPOINTED TO OUTSIDE CARRIERS TO CONDUCT TO OUTSIDE INSURANCE BUSINESS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kevin Bartolacci'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 13, 2006 - Present

SUNDVOLD FINANCIAL

Office #1: 1000 W. Nifong Building 4, Suite 104, Columbia, MO 65203

RIA

CRD#: 108176

Columbia, MO

Past

October 6, 2005 - October 4, 2006

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

COLUMBIA, MO

Past

October 3, 2005 - October 4, 2006

SECURITIES AMERICA, INC.

CRD#: 10205

COLUMBIA, MO

Past

February 1, 2005 - October 5, 2005

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

COLUMBIA, MO

Past

January 31, 2005 - October 5, 2005

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

September 29, 2000 - February 1, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

COLUMBIA, MO

Past

September 16, 1998 - February 1, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 28, 1994 - August 25, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUNDVOLD FINANCIAL

SUNDVOLD CAPITAL MANAGEMENT LLC | SUNDVOLD FINANCIAL

CRD#: 108176 / SEC#: 801-57007

RIA

Registered Investment Advisory firm - (11/18/1999 Approved)

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

Missouri
(11/13/2006)

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

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/13/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/27/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SUNDVOLD FINANCIAL

SUNDVOLD CAPITAL MANAGEMENT LLC | SUNDVOLD FINANCIAL

CRD#: 108176 / SEC#: 801-57007

RIA

Registered Investment Advisory firm - (11/18/1999 Approved)

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Contact information

Main Address

1000 W. Nifong Building 4, Suite 104, Columbia, MO 65203

Mailing Address

Phone number

(573) 443-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUNDVOLD CAPITAL MANAGEMENT (2/3/2025)

Regulatory assets under management

Total Number of Accounts	450
AUM (Assets Under Management)	$ 234,000,000

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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Richard K. Bartolacci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kevin Bartolacci's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

SUNDVOLD FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 10/27/1994

Series 7

Date: 6/13/2000

Series 6

Date: 10/27/1994

Current Firm

SUNDVOLD FINANCIAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUNDVOLD FINANCIAL

TRUST BUT VERIFY

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