Eugene Bartley
Professional summary
Eugene Bartley was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eugene Bartley, who also goes by Eugene Francis Bartley III, Eugene Francis Bartley, Eugene Francis III Bartley, Gene Francis Bartley Iii, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1997. Eugene had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2018 - January 6, 2022
J.P. MORGAN SECURITIES LLC
January 26, 2018 - January 6, 2022
J.P. MORGAN SECURITIES LLC
May 23, 2012 - January 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2012 - January 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - June 18, 2012
MORGAN STANLEY
June 1, 2009 - June 18, 2012
MORGAN STANLEY
October 12, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 12, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 7, 2003 - October 29, 2007
UBS FINANCIAL SERVICES INC.
October 21, 2003 - October 29, 2007
UBS FINANCIAL SERVICES INC.
April 19, 2000 - April 23, 2003
JEFFERIES LLC
December 1, 1997 - May 1, 2000
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
