Barton W. Weisenfluh

KELLEHER FINANCIAL ADVISORS

Portland, ME 04101

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CRD#: 2736882

Professional summary

Barton Wall Weisenfluh, CFP® is a registered financial advisor currently at KELLEHER FINANCIAL ADVISORS, LLC located in Portland, Maine.

Barton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Barton has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barton Wall Weisenfluh'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

October 13, 2017 - Present

KELLEHER FINANCIAL ADVISORS, LLC

Office #1: 2 Union Street, Suite 401, Portland, ME 04101

RIA

CRD#: 126021

Portland, ME

Past

January 9, 2015 - October 17, 2017

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

RIA

CRD#: 105674

PORTLAND, ME

Past

June 15, 2009 - December 31, 2014

ZEPHYR MANAGEMENT, L.P.

RIA

CRD#: 129683

PORTLAND, ME

Past

November 19, 1998 - December 5, 2008

W. P. STEWART SECURITIES LLC

CRD#: 40964

NEW YORK, NY

Past

May 29, 1996 - August 7, 1998

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

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".

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 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

Florida
(9/8/2021)

IAR

Maine
(10/13/2017)

IAR

New York
(10/31/2022)

IAR

Texas
(10/13/2017)

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: 7/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/28/1996

General Securities Representative Examination

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

CRD#: 126021 / SEC#: 801-62029

RIA

Registered Investment Advisory firm - (6/9/2003 Approved)

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Contact information

Main Address

100 Wall Street Suite 804, New York, NY 10005

Mailing Address

Phone number

(212) 709-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KELLEHER FINANCIAL ADVISORS FORM ADV PART 2A 04.08.2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 1,025,582,365

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2024	Cover Page	Report
10/25/2023	Cover Page	Report
02/28/2023	Cover Page	Report

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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Barton W. Weisenfluh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barton Wall Weisenfluh's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLEARSTEAD; HARTLAND & CO., LLC; CLEARSTEAD ADVISORY SOLUTIONS

ZEPHYR MANAGEMENT, L.P.

W. P. STEWART SECURITIES LLC

TUCKER ANTHONY INCORPORATED

Primary Firm SEC Registration

KELLEHER FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/25/1997

Series 63

Date: 6/14/1996

Series 7

Date: 5/28/1996

Current Firm

KELLEHER FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KELLEHER FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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